providing investment analysis or consultation to clients under Clause 38 of the Notification on Standard Conduct of Business, an intermediary’s personnel who perform such functions and the disclosure of
derivatives broker’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other contingent liabilities which require payment by
contract with service provider that should cover the followings: (1) Duties and responsibilities of service provider including the derivatives broker’s responsibilities and its clients on any act or omission
written contract with service provider that should cover the followings: (1) Duties and responsibilities of service provider including the derivatives broker’s responsibilities and its clients on any act or
provider including the derivatives broker’s responsibilities and its clients on any act or omission of any act, willfully or negligently, of the service provider; (2) Conditions and guidelines for the
the derivatives broker under Paragraph 1 to submit any necessary document or report in the interest of the consideration of the derivatives broker’s ability to maintain its net capital during such
Paragraph 1 to submit any necessary document or report in the interest of the consideration of the derivatives broker’s ability to maintain its net capital during such period as it deems appropriate. Clause 3
intermediary’s account, as the case may be, according to the client’s expressed intention. In case of failure to return or transfer, the derivative position shall be closed and the remaining assets (if any) shall