persons’ use. Division 2 Opening of Securities Trading Account and Undertaking of Securities Brokerage _________________ Clause 18 In this division, “ securities company ” means a company licensed to
month, etc., or derivatives symbol assigned by a derivatives exchange ; (4) amount and price of derivatives contract; (5) transaction type such as an opening or close-out of derivatives position; (6) fees
. and no later than 9.00 P.M. and shall open on holidays and during the said hours by notify to the Office in advance; (2) in any cases other than (1) the securities company shall extend its opening hours
…………………………………………………… who is working for us has explained and informed the Client being Mr/Miss/Mrs/Company……………………………. …………………………….. so as to be aware of the risks relating to futures and/or options trading prior to opening
: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
confidence among investors. Guidelines 1. Accepting of purchase or redemption order of investment units by a management company 1.1 There should be a procedure for account opening and entering into a contract
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
. Division 2 Opening of the Derivatives Trading Account and Acting as the Derivatives Broker --------------------------------------- Clause 16. In acting as derivatives broker, derivatives broker shall enter
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