shall not do any operation which may cause detriment to or is exploiting a client or investors by using information or a chance arising from its services in the following characteristics: (1) entering
contract to the other party at a given time in the future, and the other party, in turn, is obliged to make payment for such goods at a price specified therein; (2) a contract in which one party is obliged
intermediary shall not do any operation which may cause detriment to or is exploiting a client or investors by using information or a chance arising from its services in the following characteristics: (1
price specified in the contract; (2) a contract in which a party receives payment from or is obliged to make payment to the other party in the amount equivalent to that calculated from the difference
, is obliged to make payment for such goods at a price specified therein; (2) a contract in which one party is obliged to make payment to the other party, or vice versa , in the amount which is
management company shall make payment out of the open-end fund in the amount equivalent to the difference of such prices, so as to provide a price compensation to the relevant persons who made such redemption
of such change. Clause 22 An intermediary shall report the SEC Office in writing in case there is a certain fact appeared that the persons appointed or assigned to perform functions [of the positions
time or a period of time in the future as set out in the contract is paid to the buyer. Otherwise the Client may choose to make or take delivery of the underlying asset (physical delivery) where it will
) (7) (8) and (9) and harmonize with the elaborate commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the
specified as prohibited characteristic in Group 2 under Clause 30; (3) having a reasonable ground to believe that there is a materially inappropriate demeanor [i] affecting clients , investors , the company