securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
responsibilities of personal and units shall be appropriately divided; (d) arrange to have information and communication system related to business conduct with internal and external sources in appropriate form and
operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline
information, internal audit, compliance or other services which are similar to above. Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
disqualification to leave the company. Clause 5. The securities company shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A securities services unit
disqualification to leave the company. Clause 5. The derivatives broker shall arrange for the full-service branch office to have a branch office manager and the following work units: (1) A derivatives services unit
on internal control and risk management related to SBL business which has been previously set in writing and approved by the board of directors of the business operator; (2) arrange to have in place a
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and
in the operation by accessing the organization’s information or internal information system, and arrange for such personnel to perform their functions in accordance with the established policy and