approval of the Cabinet, excluding currencies. “variable” means any exchange rate, interest rate, financial index, securities index or any other variables as specified in the notification of the SEC with the
between the price or value of goods or variable specified in the contract and the price or value of such goods or variable prevailing at a given time or any interval in the future as specified in the
the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or
transaction and goods or variable and disseminates aforesaid analysis to its clients, the derivatives dealer shall inform the name and information of such person to the SEC Office within 7 days as from the
, interest rate, financial index, securities index as goods or variable, or any other assets or variables as specified in the Notification of the Office; “financial institution” means any financial institution
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
so that it is more flexible for securities companies to prepare their training courses which best suit the needs of their personnel and that a wider range of activities will be available for the
statement of a customer: (1) name or the derivatives account number of the customer; (2) transaction date; (3) contract specifications including contract type, type of underlying asset or variable, settlement
of investment in such securities; “general advice” means an investment advice given to any person without considering of investment objective, financial status or individual needs; “specific advice
information filed with the Office. Clause 9. To ensure that the management of private funds shall be duly carried out in accordance with customers’ objectives and needs, each private fund management contract