company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles

client to comply with the following rules in order to deliver ETF units or underlying shares of ETF according to the short selling transactions within the period as specified by the clearing house or

derivatives position is held in order to secure the performance of derivatives contract; (5) “ market closing time ” means the closing time of the afternoon trading session of derivatives exchange. Clause 2 A

derivatives position; (5) “ maintenance margin ” means the minimum amount of assets which a client shall maintain as long as the derivatives position is held in order to secure the performance of derivatives

. If the custodian receives a notification from its clients in order to switch to another custodian, the custodian shall hand over the assets to the other custodian within fifteen days. Clause 10. The

) receivables of securities purchased to order; (6) margin loan receivables and securties borrowing receivables; (7) collateral receivables; (8) any other asset as stipulted by the SEC Office. “ general

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

, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for

prescribed in the Notification of Securities and Exchange Commission concerning the Principles for Undertaking Securities and Derivatives Businesses . In order to adhere to the principles, the intermediary

management company does not comply or fails to comply with the order of the SEC Office under the rules specified in the Notification of the Capital Market Supervisory Board concerning Rules on Restriction of