case of concerns of doubtful events, investors should contact the compliance unit promptly. In any case, investment consultants must accept trading orders from the account owners or the persons who
, unless such derivatives trading is for hedging or for investment of its proprietary account and complies with the rules prescribed herein. Clause 4. The derivatives broker shall trade derivatives contract
trading is for hedging or for investment of its proprietary account and complies with the rules prescribed herein. Clause 4. The derivatives broker shall trade derivatives contract for hedging purpose to
derivatives contract for their proprietary account, unless such derivatives trading is for hedging or for investment of its proprietary account and complies with the rules prescribed herein. Clause 4. The
giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 16 Repealed. Division 2 Opening of Derivatives Trading Account and Acting as a
Repealed. Division 2 Opening of Derivatives Trading Account and Acting as a Derivatives Brokerage ________________ 8 As repealed by the Notification of the Capital Market Supervisory Board No. TorThor. 24
persons’ use. Division 2 Opening of Securities Trading Account and Undertaking of Securities Brokerage _________________ Clause 18 In this division, “ securities company ” means a company licensed to
Units (No. 2) dated 1 February 2010. 6 Division 2 Opening of Securities Trading Account and Undertaking of Securities Brokerage _________________ Clause 18 In this division, “securities company” means a