analyze value and appropriateness in trading derivatives trading, product or variables specified in derivatives contract whereby such analysis shall be distributed to clients. Clause 4. Derivatives broker
the performance of derivatives contract when a derivative position is initiated. “Maintenance margin” means the minimum amount of asset a customer must maintain as long as the derivatives position is
trading of each customer and analysis report or article on the value or suitability for trading in derivatives, underlying assets or variables as specified in a derivatives contract, as well as other
personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage
intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
derivatives agent” means the person who contacts, solicits or gives advices regarding trading in derivatives or analysis of value or properness of trading in derivatives products or underlying products for
contract of capital market products or [ii] the decision for investment on behalf of the client (front running); (2) using investment analysis data, prepared by itself or received for distribution, in favor
. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other
transaction and goods or variable and disseminates aforesaid analysis to its clients, the derivatives dealer shall inform the name and information of such person to the SEC Office within 7 days as from the
contacts : the type A investor contact who conducts an analysis on the value or suitability of any trading or investment in derivatives, and the type B investor contact who does not conduct an analysis on