Clause 10 In engaging in proprietary trading, a securities intermediary in the category of mutual fund management or private fund management shall supervise that short-term investment shall not be made

3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing services to the client , as specified in details in Chapter 5

and operating systems, as specified in details in Chapter 3; (3) preventing and managing conflicts of interest, as specified in details in Chapter 4; (4) communicating with a client and providing

Capital Adequacy of Some Specific Intermediaries (No. 2 ) dated 20 February 2017. Clause 2 In this Notification: “ intermediary ” means an intermediar y engaging in the business of investment advisory

Notification on Standard Conduct of Business , an intermediary shall operate a system for communicating with and providing services to clients pursuant to the details in this Chapter. Clause 5/2 The provisions

and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing

communicating and providing services to clients with details covering the operation specified in Clause 4; (d) having a plan to report the results of the experiment and progress of service provision to the SEC

company’s business operation; (8) “ investor contact ” means a person who performs the duties of communicating, soliciting, giving advice, or investment planning for investors or clients of securities

facts which should be revealed in order to deceive or materially mislead clients pertaining to derivatives, goods or variables. Clause 9 2 In engaging in derivatives with clients, the derivatives dealer

July 2006 shall be repealed and replaced by the following provision: “ Clause 13. When engaging in any affiliated transaction for the fund, the management company shall act in the interests of the fund