trigger fund rules require that intermidiaries disclose clear information with regard to commission fees, product features and risk warnings. For example, the information that the trigger point is not a
must be offered for sale through intermidiaries licensed to undertake securities business such as securities companies or finanicial institutions.? Meanwhile, the SEC has relaxed certain rules on short
embeded and must be offered for sale through intermidiaries licensed to undertake securities business such as securities companies or finanicial institutions.? Meanwhile, the SEC has relaxed certain rules
Rules in Detail related to Proprietary Trading of Intermediaries
Rules on Application for Obtaining an Approval and Granting to Establish Branch Offices of Intermediaries
Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries