shall not be applicable to the following assets or persons: (1) assets of a client which is a mutual fund, private fund or any other similar fund under management of a securities company in its position
Notification to be complied with, the SEC Office may perform the following: (1) establish rules in clear detail to enable securities clearing houses and central securities depositories to practice in a
shall be exempt from having qualifications as specified in the first paragraph if the applicant has the following qualifications: (1) being manager of a securities company or any person holding equivalent
controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a
for risk controlling [M] o Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy o Identifying clearly the purpose and scope
exempt from having qualifications as specified in the first paragraph if the applicant has the following qualifications: (1) being manager of a securities company or any person holding equivalent position
group in the following matters. 2.1 Characteristics of products or services Describe the characteristics of each product or service to give investors an understanding of the Company's nature of business