ETF: (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from accessing or amending information

pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control

of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5. 5 Derivatives broker shall

of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5.5 Derivatives broker shall

investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from

efficient operating systems relating to being an agent for selling or receiving requisition of investment unit redemption of gold ETF: (a) risk management system; (b) internal control system; (c) security

Business Operator in the Category of Derivatives Broker and Derivatives Dealer (codified as of 08/10/2004) (Synopsis)   23/01/2004 06/01/2004   Notification of the Office of the Securities and Exchange

e-service Online Submission See canceled document Bond Dealer and Underwriter >> OTC Securities Dealer (section 114)   Type Title Section See Document Status Notified Date Effective Date 1

Dealer | Licensed Derivatives Dealer   Company Name Head Office Data not found Note : * refers to inactivated derivatives dealing Registered Derivatives Broker is able to engage in derivative business only

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