Clause 8, a securities underwriter shall not allocate securities to the following persons: (1) itself or a co-underwriter; (2) a director, an executive, a major shareholder, a controlling person, a parent

it makes underwriting. Clause 6 Subject to Clause 8, a securities underwriter shall not allocate securities to the following persons: (1) itself or a co-underwriter; (2) a director, an executive, a

or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund

number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of

give the securities company sufficient time for preparing or taking any action to allocate fund or solve an issue of maintaining the financial position possibly arising from operational risk. Clause 4 A

) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan

securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A

be deposited by clients as the margins for their outstanding derivatives positions shall be in accordance with the minimum rate or value prescribed by the derivatives exchange or the value calculated

person in subparagraph (a) who holds a net claim against such derivatives business operator arising out of derivatives transaction, closing out of derivatives positions, or adjustment in outstanding

rules prior to making such transaction: (1) In cases where the resolution is requested by sending a letter to the unitholders, the resolution shall be passed by more than half of the outstanding