years preceding the year of application filing toward the date of application filing. □ 5. Supporting documents for consideration under Clause 5 (4): The estimation of the company’s registered and paid up
company shall provide a reservation of information and computer system of the securities company which is capable of supporting the business operation continuously, efficiently and up to date. Clause 9. The
, efficiently and up to date. Clause 9. The securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be
that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to
, complete and up-to-date. Also, the derivatives broker shall submit clients in accordance with the rules specified in the notification of the SEC Office. Clause 5. Derivatives broker shall not engage in any
distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to-date. Also, the
, so as to ensure compliance with this Notification, the anti-money laundering legislations, the internal policies and procedures, and the Securities Industry Association Guidelines, and to keep up with
Notification, the anti-money laundering legislations, the internal policies and procedures, and the Securities Industry Association Guidelines, and to keep up with new money laundering and financing of terrorism
under the first and second paragraph in complete and up-to-date manner that can be promptly retrieved and inspected by the SEC Office.” Clause 4. This Notification shall come into force as from 1 January