units or underlying shares of ETF for either its proprietary account or client’s account on the condition that it is the following cases: (1) being short selling by which borrowing such securities for
may engage in short selling of ETF units or underlying shares of ETF for either its proprietary account or client’s account on the condition that it is the following cases: (1) being short selling by
or client’s account on the condition that it is the following cases: (1) being short selling by which borrowing such securities for delivering is required according to the Notification of the Capital
_________________________ Clause 3 This Notification shall be applicable to the following cases: (1) offering for sale regarding units of foreign collective investment scheme to institutional or high net worth investor as
prohibited characteristics of the personnel in securities business. In cases where there appears the fact that any director or executive of the securities company possesses any prohibited characteristics, the
as specified in the Notification of the Capital Market Supervisory Board governing the prohibited characteristics of the personnel in derivatives business. In cases where there appears the fact that
session of the next business day from the date on which a margin call is made by the derivatives broker . Clause 5 In cases any client is unable to deposit a margin within the periods prescribed under
the date on which a margin call is made by the derivatives broker. Clause 56 In cases any client is unable to deposit a margin within the periods prescribed under Clause 4(1)(a) or Clause 4(2), a