broker, by itself or by assigning overseas derivatives business operator as agent, may provide client with service of submitting derivatives trading order in overseas derivatives exchange. Clause 4. In
. 19/2548 Re: Rules, Conditions and Procedures for Dealing of Debt Securities (No. 9) dated 28 February 2005. (Translation) -6- (1) Provide service for the institutional client where the securities
Procedures for Dealing of Debt Securities (No. 9) dated 28 February 2005. (Translation) -6- (1) Provide service for the institutional client where the securities company appoint a person who make a decision
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 assess suitability
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 assess suitability
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
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
clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 34 For providing service to a client, a derivatives broker shall proceed as follows: (1
clients after closing time of normal trading session is the transaction executed on the next trading day. Clause 34 For providing service to a client, a derivatives broker shall proceed as follows: (1
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