, settlement month, etc., or derivatives symbol assigned by a derivatives exchange; (4) amount and price of derivatives contract; (5) transaction type such as an opening or close-out of derivatives position; (6
providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives
services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives contract
approval from the board of directors of the intermediary or a committee assigned by such board of directors. Clause 5 An intermediary shall establish at least the following operating systems to support its
capital market product having high-risk or complex characteristics; “general manager” means a person who is assigned by the board of directors to be the highest level responsible person in the management of
and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a