, as well as to report certain transactions to anti-money laundering authorities. The duties required under such legislations pose a different type of risk on securities companies due to incompliance
, branch manager and any person with other equivalent positions under different names; “Managing Director” means any person authorised by the board of directors to take the highest responsibility in managing
-manager, assistant manager, department director, branch manager and any person with other equivalent positions under different names; “Managing Director” means any person authorised by the board of
different renewal period allowed, such person shall submit a renewal application within the later period. In this regard, the approval period for investor contact or derivatives investor contact, as the case
derivatives investor contact but different renewal period allowed, such person shall submit a renewal application within the later period. In this regard, the approval period for investor contact or derivatives
derivatives trading. Clause 24. In the case that a client wishes to enter into derivatives trading which involves specific risks that are different from those indicated in the risk disclosure statement under
involves specific risks that are different from those indicated in the risk disclosure statement under Clause 23, and such risks have not been disclosed by the derivatives broker, the derivatives broker