, commercial bank has provided off-exchange derivatives trading service to clients with necessity to manage risk and some are not institutional investor.  When the SEC prescribed additional goods and variables

provided that there is an investment limit for each member;  (4) Promotion of investment diversification to be in line with international standards and market development. This includes determination of

such as company policy or strategic plan, and factors or risks that may have impacts on future performance and risk management measures. In addition, the SEC provided recommendations concluded from the

investment units sold.? Asset management company must inform unitholders of information relevant to the conversion before the meeting date. The information provided also must include a comparison of the Type

sufficient systems for monitoring securities trading and other services provided to their customers so as to prevent the commission of offenses under such Acts.?

allocation along with the service matching investment objective of each investor. Additionally, the SEC has recently raised the bar by requiring that the said advice and service must be provided by an approved

public or instruments in which a fund plans to invest without the need to apply for an investment advisory license. The services provided by the said foreign CRAs are, however, limited only to permissible

system. As for trading room cases, some investor contacts failed to prepare complete reports of client orders while others provided inaccurate information on the trading reports. For example, phone orders

; (5) “offer for sale of newly issued shares at discount” means an offer for sale of newly issued shares at the offering price lower than ninety per cent of the market price, provided that the offering

2. In case the value of investment units of a closed-end fund is incorrect and such value has been announced, provided that the difference between the incorrect unit value and the correct unit value