, settlement month, etc., or derivatives symbol assigned by a derivatives exchange; (4) amount and price of derivatives contract; (5) transaction type such as an opening or close-out of derivatives position; (6
providing 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
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