details, that cover several issues such as personnel readiness, investment management, receiving and delivery of funds’ assets and risk management.SEC has studied the supervision in other countries and
roles, mandates, and service delivery approaches, alongside the application of digital technology and innovation to improve operational efficiency. The content covered fundamental concepts of the
obligations thereunder. Unless a party is able to offset its position before the settlement date, the seller of futures is obliged to make and the buyer is obliged to take delivery of the underlying asset of
by means of exchanging in-kind for delivery; (3) being short selling of ETF units by means of purchasing such securities from foreign exchange for delivery; Short selling under sub clause (2) or (3) of
for delivering; (2) being short selling by means of exchanging in-kind for delivery; (3) being short selling of ETF units by means of purchasing such securities from foreign exchange for delivery; Short
Market Supervisory Board in relation to short selling of securities by means of borrowing securities for delivering; (2) being short selling by means of exchanging in-kind for delivery; (3) being short
Operating System for Communication with and Providing Services to Clients ___________________ Clause 5/1 To communicate with and provide services to clients under Clause 12(3/1) and Clause 25/1 of the
giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b) arranging a communication system which clients can use to communicate with
government measures to control the epidemic situation of COVID– 19. Consequently, the customers change the method of work, resulting in delays in delivery or inspection of equipment or operations. As the