derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation, operational
) determining a compliance plan and operational procedures clearly, which should cover the overall business operation upon approval of the board of directors or the executive board. In this regard, the compliance
: (1) securities services unit; (2) securities operation unit, the securities company may arrange for the full-service branch office to share the securities operation unit with the head office or other
operation”) The Company would like to announce the operating results for the year ended December 31, 2019, which have been audited by the auditor as follows: For the years ended December 31, Continuing
already been put in place to handle situations that may affect business operation and to reaffirm readiness of the stock exchange, the debt market and the derivatives market, including the clearing and
activities in relation to this matter actually started with the signing of an MOU designating cooperation with the Office of the National Human Rights Commission (NHRC) on 31 May 2019 and driving operation
Printable Format - Laws and Regulations Guideline on the commencement for operation of securities / derivatives business
Rules, Conditions and Procedures for Controlling Operation of Securities Underwriting (No. 3)