prices as well as financial status, ability to deposit of margins and debt repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC
appropriate experience and ability, and necessary authority, to assume that responsibility. If yes, is their appropriate experience and ability sufficient to identify and understand quality control issues and
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of investment, debt repayment and pledging collateral, and
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of capital market products ; (4) considering ability of the client to perform in respect of servicing
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
complete information handed over to the intermediary as requested would certainly affect provided services or advice to each client. Clause 8 An intermediary shall consider the ability of clients in part of
investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the repayment ability of each client. In performing the duty in accordance with
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of