, including the procedure and processes of such consideration; (b) the renewal of approval; (c) the duties of the auditor after obtaining an approval; (d) the power of the SEC Office to take any action
compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has
legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has qualifications and does not have
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