constituting conflicts of interest, especially the actions as prescribed in Clause 16 unless it is an action allowed by [other clauses of] this Notification; 2. receiving a gift or other benefits from the client
following issues: 1. prohibited action possibly constituting conflicts of interest, especially the actions as prescribed in Clause 16 unless it is an action allowed by [other clauses of] this Notification; 2
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
the notification of the Office. In providing services under the first paragraph, the online branch office is not allowed to give an advice concerning derivatives contract or suitability of trading in
, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
before cancellation of the suspension thereof. While the revision and updating of client information under subclause (3) of the first paragraph is in process, the intermediary is allowed to provide
areas to be satisfied by a management company: (1) The scope of operations of the permitted branch office as it deems appropriate; (2) The procedures to be made by the management company to ensure
notification is due to the fact that at present securities companies are allowed to make offshore investment which contains higher risks than domestic investment in such areas as foreign exchange rate risk
in securities for investors. There are two categories of investor contact s which are category A investor contact who is allowed to conduct an analysis on the value or suitability of the purchase or
preparing records of clients’ assets from those responsible for physical keeping of such assets , and each transfer of clients’ assets shall be approved by the company’s authorized person who shall be neither