intermediary; (6) life insurance companies; (7) non-life insurance companies; (8) mutual funds; (9) private funds; (10) provident funds; (11) Government Pension Fund; (12) Social Security Fund; (13) listed
to clients; (3) mutual fund management excluding foreign investment funds; (4) private fund management; (5) securities borrowing and lending; (6) financing securities business; (7) derivatives
Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013; “fund” means any mutual fund and private fund; “mutual fund for a
, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013; “ fund ” means any mutual fund and private fund
acts or improper investments or transactions, an intermediary shall include the following conditions in the agreement with a client for providing services as broker of listed securities : (1) the client
of preventing or ceasing unfair acts or improper investments or transactions, an intermediary shall include the following conditions in the agreement with a client for providing services as broker of
the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for temporarily suspending services as broker of
that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for temporarily suspending services as broker of listed securities