advices about securities investment or securities investment analysis in the following cases: (1) Provide service for the institutional client where the securities company appoint a person who make a
during the period of providing services: (1) compile and assess the information of the service-receiving client for the following purposes: (a) to know the client; (b) to categorize the client; (c) to
each client and the total investment money of all clients generated from service provision (if any). (4) specifying a period of participating in the regulatory sandbox to be no longer than one year as
providing service to a client, a derivatives broker shall proceed as follows: (1) determine the aggregate position limits for a client including the margin rate or value, based on fluctuation of derivatives
investment limit , the intermediary shall undertake the additional acts as follows; (1) apply for an allocation from the investment limit for each client before commencing the service provision. In this regard
same category which have to be treated equally; (5) [i] providing inappropriate service of each type or category of businesses which has rendered improper benefit to a client differentiated from it
services to the client , as specified in details in Chapter 5; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified
Derivatives Brokerage ________________ Clause 17 In providing the derivatives brokerage service, the derivatives broker shall enter into a written agreement with the client who has assigned the derivatives
investment management and shall obtain a prior consent from the client, who uses the service from the intermediary . Chapter 2 Outsourcing Operational Function to Service Providers ____________________ Clause
income which the company has received from providing service to a client, such as investment advisor service fee, securities underwriting fee, fund management fee, clients’ asset management fee and