for different risk levels and thus functions as a guideline for the business operators to give investors even more appropriate investment advices. At this juncture, the SEC wishes to invite all business
shall comply with the guideline on operational control and information technology security of securities companies as prescribed by the Office. In the case where the securities company complies with a
Notifiaction with the same level of standard, the securities company shall comply with the guideline on operational control and information technology security of securities companies as prescribed by the Office
under the supervision of the Board of Directors, which is responsible for ensuring the appropriate level of capital and managing capital adequacy assessment process to accommodate our present and future
capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance
capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
responsibility of the organizations concerning derivatives business showing the separation between organizations and personnel whose responsibility or nature of work may cause conflict of interest (b) a guideline
responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have knowledge, understanding and experience that benefit responsible jobs. (2) having