operate the business, and shall be in accordance with the following outsourcing principles at any level of outsourcing: (1) having duties and responsibilities to clients and operating for the best interest
business, and shall be in accordance with the following outsourcing principles at any level of outsourcing: (1) having duties and responsibilities to clients and operating for the best interest of clients
contract with service provider that should cover the followings: (1) Duties and responsibilities of service provider including the derivatives broker’s responsibilities and its clients on any act or omission
written contract with service provider that should cover the followings: (1) Duties and responsibilities of service provider including the derivatives broker’s responsibilities and its clients on any act or
. Chapter 3 Conditions for Using Service Clause 8. Derivatives broker shall arrange a written contract with service provider that should cover the followings: (1) Duties and responsibilities of service
Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel and such person is no longer fit to perform the duties of such position, and the Office has
characteristic as specified in the Notification of the Securities and Exchange Commission on prohibited characteristics of securities business personnel and such person is no longer fit to perform the duties of
-conditions in respect of the closure of the branch office. Clause 7. In providing services, where there is a delegation of duties to a third party, a branch office shall receive prior permission from the
-conditions or post-conditions in respect of the closure of the branch office. Clause 7. In providing services, where there is a delegation of duties to a third party, a branch office shall receive prior