the view that the licensee is able to show that it has: (a) already provided sound and effective arrangements for management; (b) policy and effective measures for preventing conflict of interests
with the criteria and procedures prescribed and notified by the SEC Office. Clause 19 In the interest of preventing and desisting unfair derivatives trading practices and trading abuse, the derivatives
dispute will be settled by means of arbitration organized by the SEC Office in accordance with the criteria and procedures prescribed and notified by the SEC Office. Clause 19 In the interest of preventing
special products with a focus on dine-in products to be in line with the easing government measures in preventing the spread of COVID-19 as previously the Company has focused mainly on the development of
for preventing and suppressing unfair acts related to derivatives and inappropriate derivatives trading behavior, which shall meet at least the following requirements: (1) establish the rules that
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
Services to Clients of Securities Companies and Derivatives Intermediaries (No. 5) dated 12 February 2019 (effective on 16 March 2019). 8 Clause 13 For the purpose of preventing and ceasing unfair acts or
and procedures (if any) for preventing directors and executives from using inside information for personal gain, and for monitoring their securities trading especially during the month before public