such security systems in a good condition on a regular basis; 4. The intermediary should closely monitor and control external party support service personnel working in the secure areas; 5. The

secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the

any circumstance that may materially affect the business operation; (2) specify supportive measures to ensure business continuity in the event that the service provider fails to proceed with the

on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or inappropriateness with conditions of such intermediary ’s business; (c) is

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

frequency in reviewing shall depend on the level of client’s risk; (2) review client’s existing records and gather further information, if it is found that or there is a circumstance where :- (a) there is a

with short position) are required to make an initial margin deposit with their futures agent to secure their performance under futures contracts. Since the amount of initial margin is small compared to

intermediary not to comply with any requirement under this Notification on condition that such exempted requirement: (a) is dispensable for providing services to a client ; (b) is inconsistency or

liquidity for derivatives trading in derivatives exchange; (4) “ initial margin ” means the minimum amount of assets which a client shall deposit to secure the performance of derivatives when entering a

derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure