) “ margin account ” means an account which keeps records of lending of money to a client for purchasing securities or lending of securities to a client for short selling; (3) “ cash account ” means an account
secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of
securities purchasing or securities lending for sale; “Cash account” means an account recording transactions relating to purchasing or selling of securities excluding from margin account; “Office” means the
cases where the derivatives business operator has advanced its own asset to secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer
company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
” means giving advice or holding oneself out to the public as being willing to give advice to other persons, whether directly or indirectly, on derivatives contracts or suitability for purchasing or selling
liquidity for derivatives trading in derivatives exchange; (4) “ initial margin ” means the minimum amount of assets which a client shall deposit to secure the performance of derivatives when entering a
derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure
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