obligations under derivatives positions held by a client; (2) profits or any other interests obtained from derivatives trading of a client; (3) warehouse receipt, bill of lading, or any other instruments
decision for proprietary trading account to perform such duties; (2) Provide service for client relating to trading of government bond or bond that principal and interest are guaranteed by the Ministry of
with regard to trading of government bonds or bonds whose principal and interest are guaranteed by the Ministry of Finance and subject to the regulation whereby the holders of such bonds are entitled to
securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
services related to any capital market product having high-risk or complex characteristics shall comply with the regulations under Chapter 6; (6) receiving trading orders of capital market products having
Securities and Exchange Commission concerning the Approval of Investor Contact Person and Standards of Conduct; “Online Branch” means a branch office that provides a self-service platform for customers through
to have rules that are suitable for the specific characteristics of the fund or clients, e.g., guaranteed fund, foreign investment fund, clients who are a provident fund, the Government Pension Fund
persons appointed to provide trading services of government bonds or bonds whose principal and interest are guaranteed by the Ministry of Finance and subject to the regulation whereby the holders of such
Private Fund Management , of which policy is investment in domestic products; (b) providing services of trading a government bond or a bond of which principal and interest are guaranteed by the Ministry of