business; (5) mutual fund management business; 2 (6) private fund management business; (7) securities borrowing and lending business. Clause 4 In the case where a person having the following qualifications
regulatory sandbox : (1) derivatives brokerage business; (2) derivatives dealing business; (3) derivatives advisory service business; (4) derivatives fund management business. Clause 3 In the case where a
regulatory sandbox: (1) derivatives brokerage business; (2) derivatives dealing business; (3) derivatives advisory service business; (4) derivatives fund management business. Clause 3 In the case where a
of the SEC. In the case where the securities company prepares the supporting documents for entry into accounts or disclose information in the financial statements inaccurately or incompletely, the
of investment units, and in the case where the management company is a private fund management company, the representative shall mean the person appointed by the private fund management company as
redemption of investment units, and in the case where the management company is a private fund management company, the representative shall mean the person appointed by the private fund management company as
representative for sale and acceptance of redemption of investment units, and in the case where the management company is a private fund management company, the representative shall mean the person appointed by
; (2) Confirmation statement; (3) The evidence of margin call in the case where the derivatives broker calls for a customer to deposit additional margin; (4) Account of derivatives trading of each