contract which contains at least material information in the following matters: (1) duties and responsibilities of a service provider which include one of the following details: (a) liability to the
operation and be independent from other units. Clause 6. A securities company shall separate the units and personnel whose duties, responsibilities, or nature of operation may create conflict of interest, at
standard. Such units shall undertake independent operation and be independent from other units. Clause 6. A securities company shall separate the units and personnel whose duties, responsibilities, or nature
………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O
3 Responsibilities of Securities Company and Derivatives Business Operator ________________________ Clause 16. The securities company or the derivatives business operator shall notify the SEC Office
written contract or agreement on custody of clients’ assets , which indicates the rights, duties and responsibilities of both parties. In any case, such contract or agreement shall not have any statement
agreement on custody of clients’ assets, which indicates the rights, duties and responsibilities of both parties. In any case, such contract or agreement shall not have any statement denying or limiting the