provider’s unit and its personnel; (d) contingency management system which specifies procedures and a person in charge in each case clearly. (2) there is no reasonable grounds to believe that the financial
and its personnel; (d) contingency management system which specifies procedures and a person in charge in each case clearly; (2) there is no reasonable ground to believe that the financial condition may
following duties: (1) arrange to have a computer set where customer can submit a trading instructions for derivatives contract by themselves; (2) accept a derivatives trading account opening form and forward
relating to derivatives contract, derivatives operation, supervision of derivatives operation, or research relating to derivatives contract, regardless of the fact that such function provides services for
approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the
business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party
subscribers within a reasonable period. Clause 5. Regarding the registration of a pool of assets as a mutual fund, the management company must provide details of the results of the offering of investment units
process organized by the Office shall have the following characteristics: (1) The dispute arising from the respondent’s failure to comply with the contract, the Securities and Exchange Act, the Provident
its business by maintaining corporate image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time
not making reasonable sell of the assets of open-end fund or in case of necessity to maintain the best benefit of unitholders. Management company shall sell assets or terminate the contract, which is a