proprietary trading which would be able to prevent the following occurrences: (a) negative result to financial status of an intermediary; (b) affected trade of capital market products deviated from regularity

Call for and Deposit of Margins for Derivatives Trading in Derivatives Exchange (No. 2)

Re: Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives Exchange

Initial and Maintenance Margin Requirements for Derivatives Trading in Derivatives Exchange

trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment

person giving investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of

an application to the SEC Office together with evidentiary documentation as specified by the Notification of the SEC Office. In this regard, the applicant would obtain an approval from the SEC Office

consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of investment. “investment planner

. “investment consultant” means a person providing investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product

instruments or financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instrument or evidentiary documentation showing the right in the assets of foreign collective