derivatives broker shall provide evidence relating to derivatives trading as follows: (1) evidence relating to the taking and execution of customer’s derivatives trading order containing at least the details of
-risk or complex characteristics which could be categorized as follows: (a) complex instrument investment consultant type 1 is able to provide consultation on all classes of capital market product having
and damage prevention system which the securities company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling · Storing the importance computer devices such as
company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling o Storing the importance computer devices such as server device network device etc. in the computer centre
company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and
information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management company to provide advice or
management company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for
investors having the same characteristics as persons under sub clause (a) to (q) mutatis mutandis . (3) “ market maker ” means any person registered as market maker with a derivatives exchange to provide
the same characteristics as persons under sub clause (a) to (q) mutatis mutandis. (3) “market maker” means any person registered as market maker with a derivatives exchange to provide liquidity for