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Clause 2, the derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation
derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation, operational
liabilities which may contribute to the securities company ’s liabilities in the future as follows: (a) contingent liabilities arising from guarantee, certifying or aval on bill of exchange; (b) other
Notification of the SEC Office. “risk haircut” means a risk haircut arising from the engagement in the securities business or any other operations of the securities company; “collateral” means the total sum of
A derivatives broker shall require its clients to deposit a margin within the specified period as follows: (1) For initial margin : (a) in case of institutional client s or market maker s , the margin