services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives contract
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
” means manager or person with power of management; (2/1) 1 “manager” means any person assigned by the board of directors of the company to be ultimately responsible for the management of the company
securities company , the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities company . Clause 5 The provisions in Clause 19
securities brokerage business undertaken by a securities company, the term “personnel” and “employee” under this Notification shall also include any person who is assigned to perform duty for a securities
processes involved, Managing Director or the person appointed by Board of Directors shall negotiate, enter into agreement, decide, amend the details or conditions, and take any necessary and proper actions