equipped with knowledge and capability in trading futures contracts and protecting their own interest.
services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
social and community development in material issues for business operational process. In addition, the action plan that shows the Company’s capability of managing social sustainability issues in the
financial stability with capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least
service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
not personal in nature and needs no capability of trustee’s profession; (3) it is a transaction that a reasonable prudent owner of the property of the same characteristics as the trust property, who
the Securities and Exchange Commission; (8) “ closing time of normal trading session ” means the closing time for derivatives trading in the afternoon session of the derivatives exchange. Clause 2 This
brokerage" means brokering or representing any person in the purchase, sale or exchange of securities in the normal course of business in consideration of a commission, fee or other remuneration therefrom
the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information