derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both parties and
derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both parties and
returned negotiation and is this process was specified in the contract between the Company and customer? Normally, the Company does not have the policy to accept the return program rights. Therefore, there
> Management of Mutual Fund > Additional rules for guaranteed funds Regulations SHARE : Detail Content Management of Mutual Fund 21. Additional rules for guaranteed funds (1) In an arrangement with a new
> Management of Mutual Fund > Additional rules for guaranteed funds Regulations SHARE : Detail Content Management of Mutual Fund 21. Additional rules for guaranteed funds (1) In an arrangement with a new
carries the risk of loan default, the calculation should cover all damage that may incur on the guarantor, including the principal and interest and/or the guaranteed amount. Moreover, if the listed
written contract or agreement on custody of clients’ assets , which indicates the rights, duties and responsibilities of both parties. In any case, such contract or agreement shall not have any statement
securities company encounters financial problems, the clients’ money under custody of the securities company shall not be protected under the Deposit Protection Agency Act; (3) 2 provide a written contract or
securities company encounters financial problems, the clients’ money under custody of the securities company shall not be protected under the Deposit Protection Agency Act; (3)2 provide a written contract or
following funds: (a) a fund which clearly states that it shall hold the assets in which it has invested until its maturity or throughout each investment period or the term of private fund management contract