assets have been in custody of the intermediary , the administrative system shall be provided adequately in order to protect the client ’s assets and comply with the specific Notifications stipulating

limiting derivatives broker ’s responsibility on assets of clients , and in the case where the assets of the clients is lost or defected due to the omission of a derivatives broker ’s duty, there shall be a

protect the client ’s assets and comply with the specific Notifications stipulating about arranging, safeguarding and administration of the assets; (b) in case any law stipulates that the client ’s assets

A derivatives broker shall require its clients to deposit a margin within the specified period as follows: (1) For initial margin : (a) in case of institutional client s or market maker s , the margin

securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act

into force from 1 September 2009. Clause 2 The following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. TorThor. 10/2551 Re: Rules, Conditions and

market product s including [existing] clients of an intermediary . “ institutional investor ” means an institutional investor as specified in the Notification of the Securities and Exchange Commission

market product s including [existing] clients of an intermediary ; “ institutional investor ”5 means an institutional investor as specified in the Notification of the Securities and Exchange Commission

following regulations: Clause 1 This Notification shall come into force as from 16 November 2008. Clause 2 The following notifications shall be repealed: (1) Notification of the Securities and Exchange

into force from 16 November 2018. Clause 2 The following Notifications shall be repealed: (1) Notification of the Capital Market Supervisory Board No. Tor Thor. 25/2556 Re: Outsourcing Operational