lead to unfair treatment of investors, or the investors may not obtain correct or sufficient information to support their investment decision making; (5) the operation of the mutual fund is inconsistent
consent of the client in writing in each case. Clause 11. A securities company shall proceed as necessary for clients to obtain rights and benefits arising from securities or any instruments in the custody
. (Translation) -4- Clause 11. A securities company shall proceed as necessary for clients to obtain rights and benefits arising from securities or any instruments in the custody of securities company, or the
applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities brokerage not limited to debt
type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1) which obtain a securities business license in the category of securities
Securities and Exchange Commission governing approval for derivatives investor contacts and standards of conduct. Chapter 1 Application for Approval ______________________ Clause 3. Persons who obtain approval
obtain approval to be investor contact shall be divided into two categories which are Category A Investor Contact and Category B Investor Contact. Clause 4. The applicant for approval as category A
the case where the derivatives broker will engage in a derivatives contract with a client as a counterparty, the derivatives broker shall inform the client of such position and obtain a written consent