rules: (1) having a procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to
services to the service user by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information for the service user to choose services or make investment
considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information for the service user to choose services or make investment decisions accurately; (b) protection of
of ETF units by means of purchasing such units from foreign exchange for making delivery; Clause 7 In order to have sufficient ETF unit or underlying share of ETF for delivering according to short
case of short selling of ETF units by means of purchasing such units from foreign exchange for making delivery; Clause 7 In order to have sufficient ETF unit or underlying share of ETF for delivering
delivery; Clause 7 In order to have sufficient ETF unit or underlying share of ETF for delivering according to short selling within settlement period specified by the clearing house or within performance
conditions to be waived; (c) The company has provided other sufficient measures in lieu of its compliance with rules or conditions to be waived. Chapter 1 Offer for Sale of Newly Issued Warrants and Underlying
give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A