, the applicant shall have no record of violation of the law governing the undertaking of its business, other laws relating to financial business and concerning unfair securities trading, fraudulent or
derivatives (contract), derivatives business, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices
rights, construct, purchase, provide, sell, dispose, rent lease, hire purchase, grant of hire purchase, borrow, lend accept pledge, accept mortgage, exchange, transfer, accept transfer, or take any action
) “mutual fund merger” means merger of two mutual funds or more into a new mutual fund established to purchase or accept the transfer of assets, rights and duties of former mutual funds as specified in the
, issue or offer of securities for sale to the public, acquisition of securities for business takeovers, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of
, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices. Such power and duty shall include: (1) the
securities for business take-overs, and prevention of unfair securities trading practices. Such power shall include: (1) the issuance of rules, regulation, notifications, orders, or directions under this Act
customers or the public in any matter concerning the price, value and nature of the securities involved; (3) engage in any act which may cause damage or constitute an unfair advantage to its customers or
Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall include the
Regulations on Providing Services of Derivatives Agent ______________________ Clause 13 For the purpose of preventing and ceasing unfair acts or improper investments or transactions, an intermediary shall