securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
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not wish to offer. Additionally, the license fee structure would be revised to ensure it would not affect the rights of the existing businesses, and the existing business licenses will be automatically
approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest; (2) risk management system for
; (2) risk management system for prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities