date of the complaint received. And if the derivatives broker has not yet finished its solution to the complaint, a progress report shall be delivered to the Office every thirty days until the
compliance finished or in the necessary case for compliance in the long period, it should change password in every three months etc. · In case of non compliance in front of computer’s screen, it shall have a
complaint rapidly and report the results to the SEC Office within thirty days from the date of the complaint received. If the securities company has not finished its solution to the complaint, a progress
business operation and personnel to ensure that such misconducts will not happen again. (3) Demonstrate that the applicant has at least the following operation systems which are ready for it to operate as a
complaint has not yet been finished within such period, the securities company shall maintain records of such action until all complaint handling procedures are completed. In cases where giving of advice
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
. However, in the case where there is a complaint on the advise, trading instruction or negotiation and the case of the complaint has not yet been finished within such period, the securities company shall
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
system ready for keeping assets into its custody; □ (3.8) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian