broker investing in securities for its proprietary account shall set policies and rules for investment and shall sufficiently and efficiently have a risk management system, a system to prevent conflicts of
management system, a system to prevent conflicts of interest and leaking of information which should not be disclosed between units and personnel (Chinese wall). The policies, rules and practices shall be
the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch
establishment of full-service branch office or online branch office to the Office prior to the date the branch office starts its operation in accordance with the format set out in an electronic system of the
, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support
the case may be. “support system provider”4 means a person approved to be a support system provider under the notification concerning support system provider. “support system”4 means support system
55.98% and 56.10% respectively which is resulting from the proper management of manpower at stores and back office including the better results from the process improvement project and more staff training
customers request to enter into an arbitration process as organized by the Office for the settlement of civil disputes incidental to or resulted from the derivatives business.” Clause 2. The derivatives