been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; (3) provide a contract or an agreement on the custody
been kept in custody of a securities company shall not be protected under the measures of protection of the Financial Institutions Development Fund; 1As added by the notification of the Securities and
and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the
system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the aforementioned. Clause 6
standards stipulated by the association in securities business or any other organizations in securities business accepted by the Office, mutatis mutandis . Chapter 4 Compulsory Measures ______________________
Chapter 4 Compulsory Measures ______________________ Clause 15. In case where the investor contact have any prohibited characteristics as prescribed by the Notification of the Capital Market Supervisory
not cause any conflicts of interest or has established effective policy and measures for prevention of conflicts of interest. (Translation) -3- Clause 5. The management company shall submit to the
undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place