trading of the client shall be updated while the debt-repaying ability and the trading limit of each client shall be reviewed on a regular basis. A securities company shall maintain complete evidentiary
management process; (d) monitor and review the users’ access rights at a regular interval. (2) there shall be requirements in place for users to comply with the organization’s practices in the use of passwords
) monitor and review the users’ access rights at a regular interval. (2) there shall be requirements in place for users to comply with the organization’s practices in the use of passwords; (3) there shall be
Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the
Notification of the Capital Market Supervisory Board concerning Personnel in the Capital Market Business. Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and
repayment ability and the trading limit of each client on a regular basis. Clause 28 The derivatives broker shall maintain complete documentation with respect to the undertakings in Clause 20, Clause 21, and
information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the repayment ability and the trading limit of each client on a regular basis. Clause 28 The