compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a
changing date. In the case where the assets of clients under Paragraph 1(1) (2) and (3) are those for purchase or sale of securities in foreign country, the securities company shall segregate such assets in
of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor of
, current purchasing price, discounted cash-flow analysis price, accounting policies on cost calculating in investment, accounting records of changing of fair value of temporarily investment and investment
contract of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor
prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a
-office supporting function for instance, the structure of unit which deals with customer or submitting trading orders (front-office function) should be clearly separated from the unit which has duties in
application process changing materially, and the SEC Office has passed such preparedness; (2) maintaining qualifications and keeping its characteristics as demonstrated in Clause 4 throughout undertaking
commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the application process changing materially, and the SEC Office
the CIS 1.3 Amount and details of units of the CIS offered for sale 1.4 Expected selling price per unit (e.g. NAV or NAV+front-end fee) 1.5 Financial statement (if applicable) 1.6 Fund manager and major