the intermediary shall comply with. In this regard, the intermediary shall provide services by taking into account the best interests of a client , protection of client ’s interests, and preventing the

Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall include the

Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall include the

When an intermediary has already entered into the transaction as prescribed in Clause 22, it shall disclose adequately and appropriately such transaction to a client or a representative of the client

When an intermediary has already entered into the transaction as prescribed in Clause 22, it shall disclose adequately and appropriately such transaction to a client or a representative of the client

improper investments or transactions, an intermediary shall include the following conditions in the agreement with a client for providing services as derivatives agent: (1) the client agrees to notify and

improper investments or transactions, an intermediary shall include the following conditions in the agreement with a client for providing services as derivatives agent: (1) the client agrees to notify and

Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary

  Report/Form (Notification of Securities and Exchange Commission) Form 92-2 / 18-3 Application for Establishing Representative Office Abroad Securities Company / Derivatives Intermediary 23/07/2013

Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager