investment advice and the clients' trade order instructions. He admitted that he had advised his clients and taken orders via mobile phone.{A}'s actions were deemed as taking trading orders from a person being
following details: (a) type(s) of investment units (and whether there is one or more types of investment units), the number of investment units and the par value of each type of investment unit, and, in cases
be deposited by clients as the (Unofficial Translation) Page 2 of 2 margins for their outstanding derivatives positions shall be in accordance with the minimum rate or value prescribed by the
derivatives agent, the amount of property required to be deposited by clients as the (Unofficial Translation) Page 2 of 2 margins for their outstanding derivatives positions shall be in accordance with the
Clients of Securities Companies and Derivatives Intermediaries (Codefied) 06/09/2013 01/04/2014 Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management
Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries (Codefied) 06/09/2013 01/04/2014 Notification of Capital Market Supervisory Board TorThor. 35/2556
/2014 2. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities
/2013 01/04/2014 2. Notification of Capital Market Supervisory Board TorThor. 35/2556 Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of