Prescription of the contingency plan for emergency cases Objective A management company shall prescribe a plan to prevent and to manage unexpected incident or emergency case which may affect the company, fund
material information that may affect the derivatives trading to the customer prior to the commencement of derivatives trading. The provision of the second paragraph of Clause 21 shall apply to the disclosure
21 and derivatives broker have not disclosed that risk, derivatives broker shall disclose such specific risks with any material information that may affect the derivatives trading to the customer prior
: Securities companies are required to have proper risk management systems and procedures to ensure that possible damages from conducting business will be managed to the level that does not affect the business
conducting business will be managed to the level that does not affect the business and the credibility of the companies. Since it is possible that those committing predicate offences under anti-money
management systems and procedures to ensure that possible damages from conducting business will be managed to the level that does not affect the business and the credibility of the companies. Since it is
institutional client s; (6) “ inside information ” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired
; (6) “inside information” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired during the course of