asset , which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at https
tick where applicable ): The index is recognized by a member of the World Federation of Exchange and the index constituents are eligible assets according to the Notification of the Capital Market
eligible assets according to the Notification of the Capital Market Supervisory Board concerning Investment of Funds. The index is in accordance with the principle-based guidelines (having a clearly defined
Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
Rules, Conditions and Procedures for Approval Concerning Registration of Client’s Assets (No. 2)
Custody of Assets of Clients by Licensed Derivatives Brokers (No. 3)
Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Rules for Custody of Customer Assets and Essential Details of Custody Agreement