, the securities company shall notify the Office without delay. In this regard, the Office may order the securities company to appoint an independent director or to follow the rules stipulated in this
with the rules specified in Clause 4, the securities company shall notify the Office without delay. In this regard, the Office may order the securities company to appoint an independent director or to
. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and
status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and knowledge based on
derivatives broker according to this Notification or it appears that such trading is done in an inappropriate manner, the Office may order such derivatives broker to rectify, undertake, or refrain from
order such derivatives broker to rectify, undertake, or refrain from undertaking any act in compliance with this Notification. Clause 13. In case the derivatives broker invested in securities or held
that such trading is done in an inappropriate manner, the Office may order such derivatives broker to rectify, undertake, or refrain from undertaking any act in compliance with this Notification. Clause
foreign ETF to determine whether they are subject to provisions of such Notification, and in order to control investment allotment in accordance with the rules for control of transactions related to foreign