Derivatives Broker (No. 2) dated 7 December 2010. Clause 3 This Notification shall be applicable to the establishing of any intermediary’s branch office, excluding the branch office of [an intermediary which is
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the
assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the intermediary and the clients; 5 Clause 9
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
) derivatives intermediary ; (6) life insurance companies; (7) non-life insurance companies; (8) mutual funds; (9) private funds; (10) provident funds; (11) Government Pension Fund; (12) Social Security Fund; (13
Securities and Exchange Commission concerning Exemption from the Provisions on Public Offering for Unit Offering of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company
intermediary demonstrates that it has readiness of personnel, and has already prepared at least the following operating systems: (1) a security system to protect clients’ information, particularly trading