provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would
online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the qualifications of the person who would be a person with
accordance with the form and procedure provided in the SEC’s online system; (b) in case of an appointment of a person as person with power of management, the derivatives business operator shall examine the
receiving the application together with the accurate and complete evidentiary documentation according to the Licensing Manual for the Public, the SEC Office shall examine the facts according to the procedures
responsible for handling of complaints and disputes; (3) monitor and examine handling of complaints and disputes, and inform complainants or disputants of the results of consideration of the complaints or
interest for such client ; (b) being able to exhaustively prevent illicit exploitation of information or opportunity as a result of the intermediary ’s services; (c) separating units and personnel of such
laundering and having been subject to the judgment or the order of a court relating to confiscation of an illicit asset or any other similar judgment or order. Clause 23/14 The following financial statements
cases where a client wishes to use services relating to each type of the risky or complex capital market products for the first time, an intermediary shall examine the client’s investment knowledge in
type of the risky or complex capital market products for the first time, an intermediary shall examine the client’s investment knowledge in order to assess suitability before investing in or entering
without a doubt. Clause 18 In taking the actions under Clause 16 and Clause 17, a derivatives clearing house shall examine and ensure that its staff strictly complies with the applicable notifications and