lending of securities or for guarantee of purchasing, selling, borrowing or lending of securities or for any other purposes, shall comply with the rules prescribed herein. The provisions in Paragraph 1
shareholders’ equity of the derivatives broker ; (b) financing lease which is under the condition allowing for early termination of lease by the derivatives broker as the lessee without purchasing the asset
the lessee without purchasing the asset, except for the penalty arising from the early termination; (c) any other liabilities as stipulated by the SEC Office. (2) other off-balance sheet’s contingent
company shall regard those conditions both or all sides of counterparties; (2) not be purchasing agreement of investment units between an issuing mutual fund and another purchasing mutual fund which both of
securities purchasing or securities lending for sale; “Cash account” means an account recording transactions relating to purchasing or selling of securities excluding from margin account; “Office” means the
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
advertisement shall not imply or guarantee returns earned from investment in capital market products , unless the SEC Office has rendered a waiver or it is appropriate reference of the past performance or
company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
Office; “margin account” means an account which keep records of loans to customers for the purpose of purchasing securities or the loan of securities to customers in order to complete sales; “Stock