benefits from the securities in possession. In any case, securities companies would need to establish efficient control and risk management system.SEC is therefore conducting a public hearing on the
Governance Code 2017 Detail Content CG Code Part 1 Principles and Sub-Principles Principle 1 Establish Clear Leadership Role and Responsibilities of the Boar d Principle 2 Define Objectives that Promote
and deposit service on self-issued DA to establish a system segregating their clients’ DA from their own assets, and would prohibit them from seeking benefits from the clients’ DA under their custody
, without the need to disclose the results of the review in Form 69-1.. In addition, if the implementation of any of the principles does not lead to the intended results, the company should establish a
detailed in Chapter 4. 2 Part 3 The SEC Office’s Power Clause 4 In order for this Notification to be complied with, the SEC Office may specify regulations or guidelines, as follows: (1) establish rules in
aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7
. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7. Derivatives broker shall
, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the notification of the Office when