explained the procedure and measure on price risk management of investment, derivatives and products or underlying issues such as position limit, pricing model, method and frequency in the marking to market
, there shall be explained the procedure and measure on price risk management of investment, derivatives and products or underlying issues such as position limit, pricing model, method and frequency in the
company. Clause 2. A securities company may appoint or allow another securities company’s executive to be or perform duty as its executive or advisor upon being granted approval from the Office on condition
be or perform duty as its executive or advisor upon being granted approval from the Office on condition that the securities company is able to demonstrate establishment of the organizational structure
Administrative Order Issuance is a legal action by virtue of the SEC Office’s regulatory power prescribed in those administered laws. This action shall be imposed on a regulated person who is disqualified or fails
Fund; “Advisor” means any person who giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund; “Securities exchange” means The
Management of Property Fund and Loan Fund; “Advisor” means any person who giving advice concerning the investment or procurement for benefit from mutual fund assets to management company in any types of fund
, provided that, whether in any case, it shall count the shares of spouse or minor children included; (b) Company which private fund management company taking the duty of advisor, financial advisor for
transaction (RPT) or potential RPT or if there is, there must be adequate measure to manage conflict of interests. The company must not be dependent on the business of a person who may have a conflict of