or altered for operate in the true condition. Compliance Guideline 1. operational procedure determining · Providing a written procedure or compliance guideline for operational system development or

same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an

document and evidence, including considering of investment objective of the customer, knowledge, understanding and experience in derivatives trading, financial condition, and debt repayment capability of

passed a resolution on the guideline for the merger of the Agricultural Futures Exchange on 30 December 2014, and who has filed or will file an application for the agricultural derivatives business license

statement for futures trading that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk

transactions with persons who may have a conflict of interest, disclose in the form of related party transactions to be executed. In this regard, the guideline for disclosing the objectives of fund spending

on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is

. Division 3 Consideration of complaints and rule of practice for employees Clause 23. Repealed. Clause 24. A securities company shall have guideline for employees regarding securities trading control system

guideline for the benefit of compliance with requirements under this Notification. In case of having complied with such guideline, it shall be deemed that the intermediary has already complied with the

business days from the day it becomes or oughts to become aware of the failure to maintain the capital; (2) submit the corrective plan or guideline to the SEC Office within ten days from the day it is or