characteristics thereof; 5 **(4) having sufficient readiness for providing services and ensuring that the services provided to investors would comply with the regulations relating to providing investment
General Regulations for Operation as Derivatives Exchange __________________ Clause 6 A derivatives exchange shall have sufficient funding to support its operation and manage potential risks from their
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
should adopt reasonable measures designed to ensure that it has the appropriate knowledge and expertise, and that the information it uses in determining A-6 credit ratings is of sufficient quality and
in general, or the investors may not have received correct or sufficient information to support their investment decision making. Clause 11 If any one of the following characteristics is met, the SEC
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
entrust any person to perform the duties throughout the entire operation process as it may lead to corruption. Clause 8. A securities company shall maintain sufficient security system to prevent
maintain sufficient security system to prevent unauthorized persons from accessing or amending the information relating to its securities business operation. Clause 9.1011 A securities company shall retain
any ground to believe that there is a deficiency or inappropriateness in control and proper operation of the business; (5) procure necessary resources and a sufficient number of personnel with expertise