. Derivatives broker shall use derivatives investor contact service from any service provider, such service provider shall have following qualifications: (1) Being a securities company having any relationship
accordance with the following regulations: (1) being able to reflect the controlling power and the interest of the shareholders clearly; (2) not having any person who may have a conflict of interest with the
. Transactions with the trustee A trustee shall not perform any actions against the interests of the REITs, nor actions which will cause the trustee to lose independence except for the following: being
Public Offering for Sale of Securities as long as the scheme is in keeping with the following conditions: (1) being subject to supervision of home regulator which has jointly signed with the SEC Office in
Public Offering for Sale of Securities as long as the scheme is in keeping with the following conditions: (1) being subject to supervision of home regulator which has jointly signed with the SEC Office in
units or underlying shares of ETF for either its proprietary account or client’s account on the condition that it is the following cases: (1) being short selling by which borrowing such securities for
may engage in short selling of ETF units or underlying shares of ETF for either its proprietary account or client’s account on the condition that it is the following cases: (1) being short selling by
or client’s account on the condition that it is the following cases: (1) being short selling by which borrowing such securities for delivering is required according to the Notification of the Capital
. The applicant under Paragraph 1 shall have the following characteristics: (1) being a limited company, public company limited, commercial bank, securities trading center, or juristic person established
applicant under Paragraph 1 shall have the following characteristics: (1) being a limited company, public company limited, commercial bank, securities trading center, or juristic person established under a