Supervisory Board concerning Qualification and Other Prohibited Characteristics of Directors and Executives of Derivatives Intermediar y; (5) demonstrating that a major shareholder of an applicant shall not
Supervisory Board concerning Qualification and Other Prohibited Characteristics of Directors and Executives of Derivatives Intermediary; (5) demonstrating that a major shareholder of an applicant shall not have
or borrowing or lending, or for any other purposes as specified by the Notification of the Securities and Exchange Commission governing custody of clients’ assets by securities companies, shall prepare
for the purpose of custody, or purchasing or selling, or borrowing or lending securities, or securing securities purchase or sale or borrowing or lending, or for any other purposes as specified by the
custody, or purchasing or selling, or borrowing or lending securities, or securing securities purchase or sale or borrowing or lending, or for any other purposes as specified by the Notification of the
other similar supporting services; “Office” means the Office of the Securities and Exchange Commission. Clause 3. Except as provided by Clause 5, a securities company may use back office service from any
for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or other similar supporting services
other similar supporting services; “Office” means the Office of the Securities and Exchange Commission. (Translation) -2- Clause 3. Except as provided by Clause 5, a securities company may use back office
assets or variables as specified in a derivatives contract, as well as other evidence relating to customers’ derivatives trading, shall be kept for a minimum period of five years from either the