effect from the behavior of prohibited characteristics such as impact to money market or capital market, the public in general or a specific group of people, etc.; (b) the significance of the behavior of
business, securities business, and credit foncier business; (3) a securities company licensed to be a securities business operator in the category of securities broker, or securities dealer which is not
goods, or make payment for goods, or make payment in the amount which is equivalent to the difference between the price or value of goods or variable specified in the contract and the price or value of
so that it is more flexible for securities companies to prepare their training courses which best suit the needs of their personnel and that a wider range of activities will be available for the
effect on businesses of securities company. In this case, in order to increase confidence of using back office services from service provider, the duties of securities company in arranging for these system
category of behaviors onto which a maximum period of consideration of the application for an approval to act as a mutual fund manager under Clause 12 hereof is up to one year, the Office may consider that
necessary for investors to make the decision to enter into a contract for derivatives fund management; In case the investor is a mutual fund and the statements relating to investment policy, investment
information for consideration. The provisions in paragraph one hereof shall not apply to the management of a private fund, of which investment policy is standardized as specified in the notification of the
individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets