registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
) “Department director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization
director” means any person who is responsible for the internal operation of a department in the company; (6) “Work experience” means work experience in a financial institution or other organization in a line
“ derivatives broker ” means a person licensed to undertake derivative business in the category of derivatives brokerage, excluding a commercial bank under the law on financial institution business; (2) “ net
“derivatives broker” means a person licensed to undertake derivative business in the category of derivatives brokerage, excluding a commercial bank under the law on financial institution business; (2) “net
licensed to undertake derivative business in the category of derivatives brokerage, excluding a commercial bank under the law on financial institution business; (2) “net capital” means liquid capital
management; “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not apply to any private fund management company which is a financial institution established
is a financial institution established under other laws where the establishment of a branch office of such company shall be made under such laws as specified under the third paragraph of Section 92 of