administrative work for the arbitrator. Chapter II Filing of Dispute ________________________ Part I General Provision ________________________ Clause 6. The dispute to be filed by the claimant into the arbitral
following regulations: Clause 1. The civil dispute incidental to or resulted from the derivatives business, which the customer of the derivatives business operator may refer to settle by means of arbitration
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
advisors on dispute resolution by an arbitrator on the SEC Office’s list, shall come into force as from 1 January 2016; (2) Clause 17, which is related to arrangement of agreement with clients on provision
) having exhaustively comprehensive risk management of which preventive measures and arrangement shall be adequate and effective; (7) having systems and measures for preventing conflict of interests at least
on dispute resolution by an arbitrator on the SEC Office’s list shall come into force as from 1 January 2016; (2) Clause 17, which relates to arrangement of agreement with clients on provision of
transactions with persons who may have a conflict of interest, disclose in the form of related party transactions to be executed. In this regard, the guideline for disclosing the objectives of fund spending
effective; (7) having systems and measures for preventing conflict of interests at least in accordance with the rules as prescribed in Clause 18(2); (8) having appropriate and sufficient system for
3 The derivatives dealer shall enter into an agreement with the client in writing at the time agreed upon to provide services to the client to arrange for a dispute resolution by an arbitration
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising