management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives business
: ......…………………………………………………………………………………………………………………………………..… ………………………………………………………………………………………………………………………………………….. (Upon the SEC Office’s approval of the registration of Company Account in an urgent case, the Applicant must submit the hardcopy documents according to the Licensing Manual for the Public in full within
............................................................................................................................................. ........................................................................................................................................................... (Upon the SEC Office’s approval of the registration of SEC Account in an urgent case, the Applicant shall submit the hardcopy documents according to the Licensing Manual for the Public within 3...
securities or derivatives for the business operator’s proprietary trading including the business operator’s internal report relating to such investment, for no less than five years from the date the investment
e-service Online Submission See canceled document Business Operation Rules >> Internal operation of Securities Companies Type Title Section See Document Status Notified Date Effective Date 1