Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of conduct approved by the board
a juristic person, the directors or partners of such juristic person shall also not have the prescribed prohibited characteristics thereof; **(4) having sufficient readiness for providing services and
of such juristic person shall also not have the prescribed prohibited characteristics thereof; 5 **(4) having sufficient readiness for providing services and ensuring that the services provided to
. Derivatives broker shall arrange to have an efficient financial and operational risk management system. In the information technology risk management, derivatives broker shall arrange to have an operational
arrange to have an efficient financial and operational risk management system. In the information technology risk management, derivatives broker shall arrange to have an operational control and information
beneficial to the undertaking of the derivatives brokerage business in a sufficient number to accommodate the undertaking of the derivatives business in an efficient manner. Clause 11. The derivatives broker
form of both paper and electronic data, is accurate, complete, and available for use in an efficient manner within an appropriate time, as well as a security system which is sufficient to prevent the