company shall ensure that the fund are in accordance with the rules in this Part; (3) arrange for the listing of the units offered to the public within thirty days from the date of the asset registration or

Nature of Options Options is a contract in which the seller gives the buyer the right to buy or sell the underlying asset at a fixed price within a specified period of time and conditions, or the right to

shall not apply to the securities company’s branch office in foreign countries. Clause 3. The securities company shall open within the hours, and close on the days as follows: (1) in case of providing

within the period agreed by parties. (1) in case of short selling for proprietary account: (a) there shall be [i] an asset for exchanging with the ETF units or [ii] the ETF units for exchanging with

units of the mutual fund with the ninety-day redemption period limit and the policy to invest no less than eighty percent of its net asset value in any of the followings: (a) investing in any one or

or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes

purchased to order; (f) receivables of margin loan and receivables of securities borrowing; (g) receivables of pledging account; (h) any other asset as stipulated by the Notification of the SEC Office. (4

prescribed by the Office shall act as follows: (1) preparing a report of the inadequacy of collateral and liquid asset in accordance with the form prescribed by the Office and submit to the Office within the

approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person

managers, assistant managers, department directors and persons with different titles but hold similar positions, who are responsible for the asset custody function of the applicant within the period of 3