from investors, the management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk

company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give

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

the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to accepting sale orders or clearing the outstanding positions of capital

services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by

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

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

regulator. “ market maker ” means a person who is appointed to provide trading of ETF units for ensuring that their market price in the secondary market approximates the net asset value of such ETF units

professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its

ensuring that the services provided to investors would comply with the regulations relating to providing investment consultation and providing services relating to trading investment units, including the