selling for client’s account: (a) the client shall demonstrate that it has [i] the enabling asset to be exchanged for ETF units or [ii] ETF units which would be able to exchange with underlying shares of
engages in proprietary trading shall determine policies, rules and procedures for such matter in accordance with Clause 12(1) of the Notification on Standard Conduct of Business clearly in writing upon
restrictions and other relevant matters have been already clearly specified in details of the scheme, the derivatives fund manager shall be exempted from compliance with the first paragraph if the mutual fund
, investment restrictions and other relevant matters have been already clearly specified in details of the scheme, the derivatives fund manager shall be exempted from compliance with the first paragraph if the
the listed company. 2. As the restructure of the shareholding in Irving Corporation Company Limited (“IRV”) (a subsidiary which the Company holding 99.9%), in order to make business structure clearly in
TSFC Securities Limited, or invest in other investment specified in the notification of the SEC Office, with a statement in such bank deposits or promissory notes or investment, clearly specified that
, clearly specified that such transaction is proceed by derivatives broker for client’s benefit. In cases where bank deposits or promissory notes in the first paragraph are pay-to-maturity, such bank deposits