arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
on derivatives trading. Clause 2 A derivatives broker shall provide a written contract or an agreement on custody of assets of clients which indicates the right, duty, and responsibility of both
note etc. including negotiable instrument selling or discount negotiable instrument selling whose the buyer has a right of recourse. 13. Securities sold under repurchase agreement means the lending of
trustee is completely vested with the trust property. SECTION 28 The new trustee shall notify in writing to the third person known to the new trustee as the party in the agreement made with the former
providing services to customers, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
with clients in writing. Clause 12 The following intermediaries shall make an agreement in writing with their clients for dispute resolution by the SEC Office’s provided arbitration as requested by any
for custody of clients’ assets in accordance with the provisions under this Notification. Such rules and practice guidelines shall be in writing, indicating operating procedures and persons authorized
advance in the private fund management agreement. Clause 15 A management company may enter into a transaction for the fund with a connected person only upon the approval of the mutual fund supervisor or the
dealing of debt securities or ceases to execute dealing transactions of debt securities, and the securities company has notified the SEC Office in writing of the ceasing of business undertaking or business