Clause 3 and Clause 4 as well as the following information: (1) customer type, by indicating whether the customer is an institutional or retail investor, and also indicating the case where a customer is
17. In this regard, the affiliated transaction, whether in the case specified in Clause 14, Clause 15, Clause 16, Clause 17 or any other case, shall comply with the following rules: (1) being
the case specified in Clause 16 or Clause 17. In this regard, the affiliated transaction, whether in the case specified in Clause 14, Clause 15, Clause 16, Clause 17 or any other case, shall comply with
foreign ETF to determine whether they are subject to provisions of such Notification, and in order to control investment allotment in accordance with the rules for control of transactions related to foreign
-inclusive: CRAs and regulators should consider whether or not additional measures may be necessary to properly implement the Principles in a specific jurisdiction. Further, the IOSCO CRA Code is not designed
person making the announcement of intention prior to making the announcement, for the purpose of substantial trading of securities of the business, regardless of whether or not such contract/agreement
the rate of 0.001 percent of the trading value, regardless of whether such trading is for clients’ accounts or proprietary account, deducted by the following items: (a) the trading value derived from