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
capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance
Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client; (b) is inconsistency or inappropriateness with conditions of such intermediary’s business; (c) is
securities and derivatives contract for the derivatives broker’s proprietary account may affect its financial condition. Therefore, it is deemed appropriate to issue this Notification to determine rules for
Commission Remark: The reason for issuing this Notification is that the trading of securities and derivatives contract for the derivatives broker’s proprietary account may affect its financial condition
) Minister of Finance Chairman of the Securities and Exchange Commission Remark: The reason for issuing this Notification is that the trading of securities and derivatives contract for the derivatives broker’s
trading at the intermediary’s place of business for a period of not less than five years from the date of investment in a manner that supports an inspection by the SEC Office without delay. Chapter 2