operation against corruption. Also, the SEC asked securities and asset management companies to adopt the Indicator as an investment factor for their proprietary trading and investment of mutual funds under
companies to strengthen their Chinese wall measures to keep confidential their internal fund operation information, such as the funds? proprietary trading decisions and pending orders, etc., to prevent the
client's assets in custody, no proprietary trading, and no responsibility in clearing and settlement of securities. In addition, the lower rate of annual license fee will be offered for companies selling at
?s assets in custody, no proprietary trading, and no responsibility in clearing and settlement of securities. In addition, the lower rate of annual license fee will be offered for companies selling at
(section 92) Net Liquid Capital (section 97) Capital Reduction (section 98(1)) Anti-fraud Provisions (section 98(3)) Forward Transactions/OTC Equity Derivatives Transactions (section 98(4)) Proprietary