. In case of providing off-exchange derivatives brokerage service overseas, derivatives broker shall provide service related to derivatives as specified by the SEC Office only. Clause 3.2 Derivatives
undertaking derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel . Clause 4 In case an intermediary has
derivatives business and such person has qualified and not possessed any prohibited characteristics as stipulated by the Notification concerning personnel. Clause 4 In case an intermediary has appointed the
the currency in which any amount payable on the debt securities. In case the payments on the debt securities are payable in two or more currencies, indicate whether any person holds an option to
, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification
this notification and its guidelines specified for implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails
implementation in accordance with this notification. Clause 9. In case where it appears to the SEC Office that any derivatives broker violates or fails to comply with this notification or its guidelines specified