including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic

the seller to compensate the purchaser in the case where the delivered goods do not meet the standards stipulated under the contract shall not be treated as permitting the party having the obligation to

date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the

Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting

procedure to examine the accuracy of the list of unitholders who have the right to vote and the number of units together with the letters sent to the unitholders 5.3 A procedure to examine the authenticity of

customer’s order according to rules prescribed in this Notification; or (2) sale of securities pursuant to the customer’s order where the customer has not yet delivered possession of such securities to the

receive payment of or pay for the underlying asset delivered or taken at the exercise price specified under the contract. If options expire worthless, the buyer’s loss equals the amount of premium. A seller

licensed derivatives business operator in the category of derivatives brokerage; “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ business

established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through

calculation as specified in Clause 3. (2) “electronic data” means statements that are created, sent, received, stored or processed through electronic procedures. (3) “securities company reporting system” means