intermediary shall disclose the information on performance under Paragraph 1 for the client’s acknowledgement within the period of time agreed upon with the client. Division 2 Execution of Trading Order of
customer to secure the performance of derivatives contract when a derivative position is initiated; (4) “ maintenance margin ” means the minimum amount of assets to be maintained by a customer as long as the
evidentiary documentation retrievable for inspection by the SEC Office. Division 2 Specific Rules for Execution of Transactions for a Fund with a Management Company or a Connected Person _________________
virtue of duty performance. (2) notifying the service user that the provision of services is in accordance with the regulatory sandbox , which contains limitations, risks and conditions different from the
performance. (3) notifying the service user that the operation is in accordance with the regulatory sandbox , which contains limitations, risks and conditions different from the operation of the business
clearly determined and tangible e.g. fund performance, management company’s performance, market share, etc. The long-term plan should demonstrate the direction of the business and the future plan such as
Establishment of Mutual Funds and Execution of Agreements for Private Fund Management ; (7) “ major shareholder ” means a person directly or indirectly holds shares of a juristic person exceeding 10% of the total
Execution of Agreements for Private Fund Management ; (7) “ major shareholder ” means a person directly or indirectly holds shares of a juristic person exceeding 10% of the total number of voting rights of
Nor. 22/2552 Re: Establishment of Mutual Fund and Execution of Agreement for Management of Private Fund dated 28 July 2009; “ provident fund ” means a provident fund under the law governing provident
requirement of the client ; (2) execute the client ’s requirements through the market mechanisms and with best execution according to market conditions; (3) report or inform the results of the performance, with