clearing house in accordance with the criteria prescribed by the clearing house ; (3) contracts having the following characteristics: (a) containing provisions that require one party to deliver goods to the

and executing of customer’s derivatives trading order, containing at least the details of transactions executed by it for the customer from the time the order is taken until the transaction is completed

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

paragraph, the management company shall prepare a written agreement and a memorandum containing facts which lead to why the management company considers that such transaction complies with the rules

indicated in the documents published for dissemination of mutual fund rating information, containing essential statement that the information on mutual fund rating should be used only for supplementing the

containing details on providing services to customers outside prescribed office hours and not on premises of the head office or branch office, as the case may be, for every calendar year and shall keep the

, derivatives broker shall arrange to have a procedure to ensure that customer is aware of the risks in derivatives trading, by having at least a document containing risk disclosure statement which have minimal

directors and containing at least details as specified in the provisions under Clause 8. The policy shall be reviewed on its efficiency and appropriateness at least once a year or promptly upon occurrence of

Management System Objective A management company shall have an investment management system containing clear processes and procedures both prior to and after investment. The system shall also have appropriate