guideline for consideration of any problematic issues which many arise from the enforcement of this Act.

being closed out and the responsibility for any loss that may arise. When an investor has a futures position, the derivatives broker will mark to market the futures position of investor at least once at

operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline

customer and obtain the customer’s signature of acknowledgment of the risks which may arise from a short sale; (2) arrange for the customer to short sell through a margin account and call for collateral

approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be

from the issuer before common shareholders but after debenture holders; (7) perpetual bonds; (8) non-investment grade or unrated bonds; (9) structured debentures according to the Notification of the

; 5. conditions in the case that the cloud provider subcontracts to another cloud provider and the provision on liabilities that may arise due to the operation of such cloud provider; (b) qualifications

conflict of interests which may arise in the securities borrowing and lending business, in the case where the business operator has a proprietary account, the business operator shall separate the unit which

associated with derivatives trading to the client, as well as procure the client sign the aforesaid document to certify that the derivatives broker has given an explanation on risks which may arise from

may arise from such investment policy; (3) details on the management fee that the management company will receive for managing the private fund and mutual fund or trust. Clause 14 3 In seeking the