Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a
mutual fund management companies3. Chapter 1 General Rules ___________________ Division 1 Mutual Fund Supervisors ___________________ Clause 8 A mutual fund management company may change a mutual fund
office; or (3) oversea representative office. “online branch office” means a branch office of an intermediary of which services are provided solely through computers or electronic devices linked to
provided solely through computers or electronic devices linked to computer or electronic system of head office or another branch office. “oversea representative office” means a branch office of an
) oversea branch office; or (3) oversea representative office. “online branch office” means a branch office of an intermediary of which services are provided solely through computers or electronic devices
, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9
may have potential conflicts,” “management,” “major shareholder,” “person who has power of control,” “related party,” “credit rating,” “electronic information,” and “consolidated financial statements
Requirements for All Types of Trust ___________________ Division 1 Trust manager and trustee ___________________ Clause 12 The trust manager shall meet the following requirement: (1) have no records of breaching