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
management, operational management and internal control system which at least shall contain: (a) the policy and measure in writing; (b) the determination and amendment of such policy and measure each time has
registration under Clause 2 (3) must demonstrate policies and measures on risk control and management, operational management and internal control system in order to efficiently operate derivatives business
countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good
shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as
contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel; (4) have good management record as follows: (a) for the
operation in foreign countries, such plan shall at least contain details of an efficient operational management, monitoring and supervision system, and record keeping system including readiness of personnel
derivatives dealer shall ensure efficient prevention of conflicts of interest and access to inside information between operational unit and personnel, risk management in business operation, operational
Arbitration; (3) having business plan and operating system prepared for establishing the branch office. In this regard, such system shall compose of efficient system relating to operational management