operators, for example, the number of shares held, shareholding proportion, trading account numbers. Verification data: Data for verification purposes, for example, trader codes. Work Areas Personal Data
./Mrs./Miss/Entity ……………………….. of the risk involved in futures trading before opening an account or operating the derivatives business for the customer on the following matters: 1. The characteristics of
./Miss/Entity ……………………….. of the risk involved in futures trading before opening an account or operating the derivatives business for the customer on the following matters: 1. The characteristics of
explained to the customer, Mr./Mrs./Miss/Entity ……………………….. of the risk involved in futures trading before opening an account or operating the derivatives business for the customer on the following matters: 1
the rate of 0.001 percent of the trading value, regardless of whether such trading is for clients’ accounts or proprietary account, deducted by the following items: (a) the trading value derived from
Exchange shall be at the rate of 0.001 percent of the trading value, regardless of whether such trading is for clients’ accounts or proprietary account, deducted by the following items: (a) the trading value
case where the employees and their connected persons have an account for trading capital market products with another intermediary; 2 Amended by the Notification of the Office of the Securities and
of duty performance to seek wrongful gains; (3) requiring the employees to notify the intermediary in the case where the employees and their connected persons have an account for trading capital market
, servicing person or any person; 3. having a trading account of and investing in capital market products belonging to directors, executives and other personnel, in order that the intermediary able to pursue