. 4 Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of
shall be calcualted on each business day. Division 3 Report and Keeping of Information on Maintenance of Capital Clause 10 The intermediary shall file the report on maintenance of capital with the SEC
intermediary shall ensure that system acquisition, development, and maintenance of the information systems meet the following criteria: (1) establish information security related requirements in the requirements
following information: (1) The required amount of the initial margin and maintenance margin. If the derivatives broker require different amount of initial margin and maintenance margin in respect of any
Cryptographic Control; 2.7 Physical and Environmental Security; 2.8 Operations Security; 2.9 Communications Security; 2.10 System Acquisition, Development and Maintenance; 2.11 IT Outsourcing; 2.12 Information
for Establishing Branch Offices of Intermediaries dated 26 June 2013). Details Yes No 4.1 Maintenance of net capital or shareholders' equity: (a) In case of intermediary subject to the net capital rules
the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to
exchange business, hard disc operation, CPU operation etc. in order to use an information for capacity system assessment . [M] · Providing maintenance computer system and other device in a good condition and
. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and
for registration to be a general derivatives business operator. 1. Information of the applicant, Category of business applied for registration □ to be a derivatives broker □ to be a derivatives dealer