prior to the date the branch office starts its operation, it must not appear that the securities company conducts an offence relating to misleading its financial status or actual performance; (6) have an
operation, it must not appear that the derivatives broker conducts an offence relating to misleading its financial status or actual performance; In the case where the derivatives broker lacks of qualification
) 8.1 Companies should arrange a training and communication on the BCP to relevant persons, either inside or outside, regularly, as well as shall test the BCP to be in line with an actual situation
, collateral requirement and the preparation for readiness to cope with price volatility, etc.; (f) legal risk management, such as by using standard form contract or otherwise there shall be specifying the
show the readiness of its work system in undertaking gold derivatives brokerage business; (9) Being able to show the readiness of its personnel in charge of gold derivatives brokerage business. Clause 4
securities company shall prepare financial statements of the private fund pursuant to its actual conditions, and shall comply with the rules, conditions and procedures specified by the notification of the SEC
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties
operational readiness or inspection on readiness by the Office prior to a start-up operation; (3) The arrangement of premises of the branch office or the preparation of personnel to work at the branch office
, having an effectiveness and correct integrity and satisfies the need prior to transfer for operating in real condition. [M] · In the importance operation, there shall be an agency or independent team for
a juristic person, the directors or partners of such juristic person shall also not have the prescribed prohibited characteristics thereof; **(4) having sufficient readiness for providing services and