category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4) 1 financial institution established under specific law; this is
category of derivatives dealer under the law of such foreign country; this is limited to only apply for derivatives dealer registration; (4)1 financial institution established under specific law; this is
The Securities and Exchange Commission (SEC), represented by the Organization Transformation and Data Management and Analytics Department, welcomed officials from the Office of the Administrative
…………................................................................. …………………………….......................................................................... telephone number…………………….. facsimile number ………………………… 2. Details for supplementing the consideration: 2.1 A license granted by the authorized organization or agency under the law (only in the case of a CB
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organization and worker of securities company’s. Such measure shall, at least, having measurement protecting to access internal information between organization and worker who have opportunity to know any
written with an approval of Board or Executive Board of securities company. Clause 5. Securities company shall prescribe a measure protecting internal data access between organization and worker of