user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
staff and user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other
trial); (3) procure an efficient market surveillance system which shall include at least the following requirements: (a) an information recording system that provides accurate and up-to-date unique
branch office, comprising at least an efficient system for operational management, compliance management, information management and preparation of competent personnel. 4.4 Having the result of the latest
of the Securities and Exchange Commission. Clause 2 At least two fifths of the total number of directors of a derivatives exchange shall be persons capable of performing the duty to safeguard the
5 Board of Directors Article 24 At a meeting of the board of directors, at least one-half (1/2) of the total number of directors present at the meeting shall constitute a quorum. The chairman of the
operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline
position called otherwise shall: 1. possess a bachelor’s degree or higher or an equivalent degree certified by the Office of the Civil Service Commission with at least three-year work experience; or 2