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Commission Remarks : The reason for issuing this Notification: the fact that a derivatives broker acting as market maker of gold derivatives in derivatives trading center licensed by the Securities and
Commission Remarks: The reason for issuing this Notification: the fact that a derivatives broker acting as market maker of gold derivatives in derivatives trading center licensed by the Securities and Exchange
the following regulations: Clause 1 In this Notification: (1) “derivatives broker” means any person licensed to undertake derivatives business in the category of derivatives broker; (2) “market maker of
provide services with loyalty, affecting the reliability of capital market business personnel in a significant manner, which is considered a prohibited characteristic of the capital market business
significant adverse impact on the credibility required of capital market business personnel. Both types of conduct are deemed the prohibited characteristics of capital market business personnel under the
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