business operation in the category of derivatives broker; “futures” means a contract trading on the derivatives exchange with any one or more of the following characteristics: (1) a contract in which a party

securities and derivatives contract for the derivatives broker’s proprietary account may affect its financial condition. Therefore, it is deemed appropriate to issue this Notification to determine rules for

maturity date within 1 year, unless such condition has been waived by the SEC Office; 2. financial lease contract which a securities company , as lessee, would be able to terminate the contract before the

within one year, unless such condition has been waived by the SEC Office; 2. the financial lease contract which a derivatives broker , as lessee, is entitled to prematurely terminate without the condition

the trading account or trading the futures and/or options on behalf of the Client as follows: 1. Futures 1.1 Nature of Futures Futures is a contract in which parties are bound to perform their

” means any person who is designated by the derivatives fund manager to be an agent to solicit investors, together with proposed investment plans, to enter into a contract with the derivatives fund manager

. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other

derivatives, products or variables prescribed in a derivatives contract, in accordance with the rules specified in the notification of the SEC Office. Chapter 3 Operation

efficiently on the condition that such outsourcing shall not have a result as if the intermediary does not operate the business. Additionally, the intermediary shall be in accordance with the following rules

and its personnel; (d) contingency management system which specifies procedures and a person in charge in each case clearly; (2) there is no reasonable ground to believe that the financial condition may