material contents as contained in the guideline for risk disclosure statement attached to this Notification. In disclosing risks relating to trading derivatives under the first paragraph, an intermediary
follows: (1) disclosing the balance sheet, income statement and the auditor’s report at the office of the derivatives business operator; (2) announcing the balance sheet, earnings statement and the
a client can access the information and risks related to derivatives trading by preparing documents disclosing at least the following information and risks: (1) details of the types, characteristics
by the notification of the Office of the Securities and Exchange Commission on rules, conditions and procedures on management of fund. Management company shall reveal to unitholders, clients or
contract; “derivatives exchange” means the derivatives exchange licensed from the Securities and Exchange Commission. Clause 2. When disclosing risk associated with futures trading, the derivatives broker
private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another intermediary and reveal the report in the annual
all customers equally. (3) Keep confidential information of the customer and refrain from disclosing customer’s profile, derivatives trading information or financial information to other persons except
equitable treatment to clients; (3) the derivatives broker shall maintain each client’s confidential information and refrain from disclosing personal information, information on trading of derivatives, or a
) and (2) “retail client” means client other than an institutional client; “inside information” means any information which substantial to the change of price of the securities which is not reveal to
transactions with persons who may have a conflict of interest, disclose in the form of related party transactions to be executed. In this regard, the guideline for disclosing the objectives of fund spending