Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
Re: Allocation of Cash Flow under Securitization Program and Reporting on Transfer of the Remaining Assets and Benefits of Special Purpose Vehicles
Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.