market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
Logistics Co., Ltd. is a company that engages in cross-border transportation. Therefore, the cost of investing in the tractor is quite high. Resulting in increased management costs Resulting in a higher
Concerning Futures and Options Trading 3.1 Understanding Terms and Conditions of Derivatives Contract Since derivatives trading carries a high degree of risk, therefore, prior to making investment decisions
) Fundamental Knowledge (2) Related Rules and Appropriate Investment Advisory (3) Knowledge on non-complex capital market products and high-risk or complex products, i.e., derivatives, high-risk or complex of
characteristics: (1) not aiming to seek benefits through speculation; (2) mitigating risks for the overall investment of funds; (3) mitigating general risk and specific risk for the hedged assets; (4) mitigating
investment exceeding 100% of NAV will be classified as high risk products and subject to additional regulations to mitigate risk of misselling; for instance, description of the worst case scenario for
conduct must be as strict as those imposed on the sale of high-risk products and the associated risks must be clearly disclosed; (8) Debt issuers must use the raised money to repay for the earlier
any country or any sector. For example, a higher-than-80-percent concentration in any sector would represent high risk. In addition, a risk warning statement would have to be printed on the cover of