category of derivatives broker or derivatives dealer; “investment limit” means the investment limit of capital market products denominated in foreign currency which is allocated by the SEC Office by the
concerning Rules on Offering for Sale of Units of Foreign Collective Investment Schemes ; “ intermediary ” means: (1) a securities company licensed to undertake the securities business in the category of
Offering for Sale of Units of Foreign Collective Investment Schemes; “intermediary” means: (1) a securities company licensed to undertake the securities business in the category of securities brokerage
fund manager s; and (4) derivatives advisors. Division 1/1( Specific Regulations on Providing Services of Derivatives Dealer Clause 12/1 An intermediary shall shall arrange a procedure for ensuring that
e-service Online Submission See canceled document Securities Dealer Business >> Compliance / Internal Control Type Title Section See Document Status Notified Date Effective Date 1. Notification of
e-service Online Submission See canceled document Derivatives Dealer >> Compliance / Internal control Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
. Division 1/1 Specific Regulations on Providing Services of Derivatives Dealer Clause 12/1 An intermediary shall shall arrange a procedure for ensuring that a client can access the information and risks