personnel of the securities company. In this regard, there shall be at least measures for preventing an access to insider information of a securities issuer between the work units and personnel who have an
operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline
approval from the board of directors of the intermediary or a committee assigned by such board of directors. Clause 5 An intermediary shall establish at least the following operating systems to support its
(2003) . Clause 3 Maintenance of the net capital by a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any
a securities company shall be in accordance with the criteria as follows: (1) securities company shall maintain the net capital at the end of any business day in the amount not less than fifteen