ผู้ประกอบธุรกิจหรือบุคลากรของผู้ประกอบธุรกิจกับลูกค้า หรือระหว่างลูกค้าด้วยกันเอง (8) การคำนึงถึงผลประโยชน์ของลูกค้า (clients’ interests)
executive as follows: (1) In cases where a derivatives business operator appoints a new person as director or manager, or in other cases than (2), the derivatives business operator shall submit the following
such statement; (3) the statement of claim is incomplete or unclear, the claimant shall make correction or addition within thirty days from the date on which the Office notifies the claimant. In cases
on which the Office notifies the claimant. In cases where the claimant does not make correction or addition within such period of time, it shall be deemed that the claimant no longer intends to proceed
foreign ETF are listed, and in cases where units of foreign ETF are listed on several exchanges, it shall mean the exchange specified by foreign ETF as home exchange; 2 Chapter 1 Application for Examination
, business operations or clients of such business; 8. having reasonable grounds to believe that the person acts or has acted in a manner indicating a lack of responsibility or due care or integrity in relation
securities brokering, dealing, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities
management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities opening accounts or engaging in business relationships with a securities company
, underwriting, mutual fund management, private fund management, securities financing, securities borrowing and lending; (2) “customers/ clients” means natural persons or entities opening accounts or engaging in