, the maintenance of net capital complies with the rules as stipulated in the Notification of the Securities and Exchange Commission, as the case may be; (b) In case of mutual fund management company or
procedures and methods for each back office work which ensures that the management company complies with laws or the agreement made with its customers or investors. (b) contingency plan for emergency
back office work which ensures that the management company complies with laws or the agreement made with its customers or investors. (b) contingency plan for emergency circumstances which may
systematic procedures and methods for each back office work which ensures that the management company complies with laws or the agreement made with its customers or investors. (b) contingency plan for
trading is for hedging or for investment of its proprietary account and complies with the rules prescribed herein. Clause 4. The derivatives broker shall trade derivatives contract for hedging purpose to
, unless such derivatives trading is for hedging or for investment of its proprietary account and complies with the rules prescribed herein. Clause 4. The derivatives broker shall trade derivatives contract
derivatives contract for their proprietary account, unless such derivatives trading is for hedging or for investment of its proprietary account and complies with the rules prescribed herein. Clause 4. The
paragraph, the management company shall prepare a written agreement and a memorandum containing facts which lead to why the management company considers that such transaction complies with the rules
transaction complies with the rules stipulated in the first paragraph so as to enable an inspection by the Office. Affiliated transaction of the fund under the first paragraph shall not include the transaction