Companies shall be in accordance with Chapter 2; (3) Additional Rules for Proprietary Trading of Derivatives Brokers shall be in accordance with Chapter 3. The management of investment of a juristic person in
trading of derivative instruments on the Stock Exchange) ✓ ✓ ✓ Information on daily trading (T - 2 months) ✓ ✓ ✓ Information on daily trading of exchange brokers and dealers ✓ ✓ ✓ ✓ ✓ 1.2 Sources of
general public as being ready to engage as an agent in the business of trading in derivatives with others, and has been licensed or registered under this Act, excluding those derivatives brokers with the
Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for