about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting the client ’s asset which is under the following rules: (a) in case the client ’s

equipped with knowledge and capability in trading futures contracts and protecting their own interest.

; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting

evaluation should be made to project the future capacity requirements based on current use of resources for ensuring the required system performance; 4. The intermediary should separate development and

company that provides a custodian service for assets of its clients, whether for the purpose of custody, or purchasing or selling, or borrowing or lending securities, or securing securities purchase or sale

Investing in future contract require investor to deposit certain asset with the derivatives broker for securing the fulfillment of futures contract by the investor. However, the amount of assets placed as an

provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such

1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and

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