Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type
in the category of inter-dealer brokerage; (3) a securities company in the category venture capital management; (4) a derivatives intermediary in the category of derivatives advisory; (5) a person
e-service Online Submission See canceled document Securities Dealer Business >> Securities Dealing (Section 114) Type Title Section See Document Status Notified Date Effective Date 1. Act
e-service Online Submission See canceled document Securities Dealer Business >> Know Your Clients Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital
e-service Online Submission See canceled document Securities Dealer Business >> Books & Records Requirements Type Title Section See Document Status Notified Date Effective Date 1. Notification of
e-service Online Submission See canceled document Securities Dealer Business >> Risk Control Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
e-service Online Submission See canceled document Securities Dealer Business >> Conflict of Interest Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital
e-service Online Submission See canceled document Derivatives Dealer >> Business Conduct (Section 18) Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital