operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as

following regulations: Clause 1 This Notification shall come into force as from 1 April 2014 unless: (1) Clause 42(8) relating to comparative results of mutual fund management’s performance shall come into

Office uses to increase or decrease the weight in considering the facts in general: (a) the involvement of a person in the prohibited characteristics such as being a principal, an user or a supporter, etc

company by taking into account the appropriateness and acceptable risk level. The securities company should specify the details on the designation or approval for such action clearly in writing, and monitor

exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse

: Clause 1 This Notification shall come into force as from 1 January 2015, except the following clauses: (1) Clause 12(4), which relates to arrangement of agreement between clients and derivatives advisors

been given an order to rectify its impaired financial condition by way of capital decrease and subsequent capital increase with an assistance from a government agency or a state-owned financial

managed by a management company. “Unit price” means a selling price or redemption price of investment units. “Price compensation” means an increase or decrease in the number of investment units of any

the paid-up capital to the extent that causes decrease in the shareholders’ equity in the financial statement, unless approval is given by Capital Market Supervisory Board. Clause 7 In the event that

Capital Market Supervisory Board hereby issues the following regulations: Clause 1 This Notification shall come into force as from 1 April 2014 unless: (1) Clause 42(8) relating to comparative results of