period of backup retention is required, consideration shall be taken for the method of data restoration in the future, for example, if the data is kept in a particular form of media, equipment and software

transaction and such transaction should be fair to the client under that particular situation. (3) Proxy voting (4) The calculation of the asset value of the fund should be carried out in accordance with the

under the method of margins calculation prescribed by the derivatives exchange. Clause 4. In acting as a derivative agent in a derivatives exchange, the derivatives agent shall: (1) call for its clients

supervisor to the investors and the general public by a method that sufficiently allows the investors and the general public to be continuously aware of information at every particular period as appropriate to

-date at all times. Clause 6. To assure the conformity with the capital market policy at each particular time, or to enable investors to clearly understand the selection of appropriate tools for

income structure of such period is required, as the case may be. 2 Including the profit margins in the associates based on equity method. 3 Describe the nature and proportion of other incomes, other

the excel-file-via-email method. Intermediaries may submit the daily status report by filling in the online form available on the SEC website or by preparing a text file according to the Enclosures 1

over the benefit of itself, in particular, it shall trade in securities for the client prior to trading for itself, unless the order of the client clearly specifies the condition of trading otherwise

particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for