statements, registration and any other application; (4) accept fees as specified in the ministerial regulations or as determined by the SEC and the Office. Provided that it shall be solely for the benefit of
) “ general liabilities ” means total liabilities deducted by qualified liabilities . (5) “ total liabilities ” means (a) all of liabilities shown in the financial statement but not include the following
prescribing a policy for prevention and management of conflicts of interest in accordance with Clause 17 of the Notification on Standard Conduct of Business , an intermediary shall include therein excessive
, having obtained an approval from the SEC Office, determined by the securities company association . Clause 3 A business operator shall prepare and store any document or evidence relating to investment in
Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall include the
Client’s position may be liquidated, and the Client will be liable for any resulting loss from such liquidation . The derivatives agent may also include a forced closeout as an additional term in a Contract
include any juristic person established by a specific law with an objective to undertake businesses; Chapter 1 Appointment of Property Fund Manager ______________________ Clause 3. In appointing property
of an intermediary ’s service and shall include fund , unitholder or member of the provident fund; “ fund ” means a mutual fund, private fund and provident fund; “ central utility function ” means a
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
issued shares; (2) a company relating to the intermediary by having control between each other; (3) a company and the intermediary have mutual control by any person. “ control ” means control as determined