paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital. Clause 6 In the event that, prior to the
and specifying exact time when the report would be able to be submitted. In case the SEC Office determines that such request is necessary and appropriate, the SEC Office may render a waiver for such
Office determines that such request is necessary and appropriate, the SEC Office may render a waiver for such request. Clause 7 In case any of the offering period of securities has already elapsed before
request is necessary and appropriate, the SEC Office may render a waiver for such request. Clause 7 In case any of the offering period of securities has already elapsed before the effective date of this
, the derivatives fund manager shall carefully select a person with appropriate qualifications to proceed as designated and shall supervise such person to perform as designated in accordance with the laws
operation of the back office, the derivatives fund manager shall carefully select a person with appropriate qualifications to proceed as designated and shall supervise such person to perform as designated in
method of inspection on validity of such contract, etc.; (g) practice on internal inspection and control, performance inspection and hierachical risk report to the executive; (h) appropriate and reliable
) appropriate and reliable system for recording information and hierarchical information report to the executive; (i) procedure and method for controlling and monitoring the performance under the prescribed
securities and derivatives contract for the derivatives broker’s proprietary account may affect its financial condition. Therefore, it is deemed appropriate to issue this Notification to determine rules for