of preventing or ceasing unfair acts or improper investments or transactions, an intermediary shall include the following conditions in the agreement with a client for providing services as broker of
the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for temporarily suspending services as broker of
that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for temporarily suspending services as broker of listed securities
Notification of the Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a
Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary
according to the definition by the National Institute of Standards and Technology (NIST); “outsourcee” means the external parties engaged by the intermediary in the operation on an ongoing basis and must
according to the definition by the National Institute of Standards and Technology (NIST); “ outsourcee ” means the external parties engaged by the intermediary in the operation on an ongoing basis and must