) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
company. Clause 5 The provisions in Clause 19 shall also apply to securities dealing of a securities company mutatis mutandis. Chapter 1 Operational Control ___________ Clause 6 A securities company shall
Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well
and Clause 24, shall not apply to the providing of derivatives brokerage services to the clients who are institutional investors. Chapter 2 Organizational Structure, Operation System, and Operational
Transaction Concerning the Entering into Revolving Loan Agreement 21/12/2021 17:04 Report on the Information Memorandum Regarding the Connected Transaction Concerning the Entering into Credit Facility Agreement