features as follows: 1. Allowing actively managing strategies for ETFs, i.e., active ETFs, in addition to the existing passive ETFs; 2. Streamlining consideration procedure for underlying index which will
of an Application Form and Procedure for Applying for a License in Undertaking Digital Asset Businesses under the Notification of the Ministry of Finance regarding Licensing of digital asset businesses
handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related personnel of the policies and the practices as well as a procedure for continuous
instruments; (7) The determination of guideline for complaint acceptance and handling; In this regard, the high-level management should arrange for a procedure in notifying and acknowledging the related
capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
capital market products which are over-the-counter derivatives. Clause 5/34 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
. 20/2008 Re: Procedure for entering into the material transaction, which is regarded as the Acquisition or Disposal of Assets. The size of Proposed Transaction is less than 15% consequently, this
) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with