disqualification to leave the company. Clause 5. The securities company shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit
arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit; (2) A securities operation unit, the securities company may arrange
disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A derivatives services unit
executive or personnel who rendered the company into such disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office
4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6
recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6 Communications with relevant persons (7
an advertisement of a sale promotion shall contain mainly the information on the units whereas the information on the sales promotion shall be marginal; (8) the advertising expenses may be charged to
operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline