that the derivatives fund manager will appropriately manage the investments for investors to protect and maintain the best interest of investors under acceptable risk exposure, it is necessary that the
) Consolidated The Company only ( 20..) ( 20..) (20..) (20..) 1. Cash and cash equivalents 2. Long-term deposits at financial institutions 3. Securities purchased under reverse repurchase agreement 4. Investments
disqualification to leave the company. Clause 5. The securities company shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit
disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A derivatives services unit
company cause the relevant executive or personnel who is responsible for such non-compliance to leave so as such person is no longer be related with the management company. Clause 6. The Office shall
conditions. "mutual fund management" means the management of investments under a mutual fund project by issuing investment units of each project for sale to the public and bringing proceeds therefrom to invest
interest on loan of financial institutions ; (d) investments in securities, derivatives and other financial instruments; (e) receivables of securities purchased to order; (f) receivables of margin loan and
issued by financial institution under the law on interest on loan of financial institution ; (d) investments in securities, derivatives and other financial instruments; (e) receivables of securities
interest of investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind
management or risk management of such investments, whether or not it is a central utility function and at any level, there shall be a procedure for requesting an approval from the intermediary’s board of