standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates a negligence of reasonable performance of duty in supervising persons
standards as stipulated by an association under the Office’s approval; (18) Performing the management duty in a manner that indicates a negligence of reasonable performance of duty in supervising persons
an agency supervising such financial institution or the Commission of the Organization for Reformation of Financial Institution System or has been ordered to rectify the damaged financial position by
agency supervising such financial institution or the Commission of the Organization for Reformation of Financial Institution System or has been ordered to rectify the damaged financial position by
operator shall proceed as follows: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign
: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign countries; (2) notifying
: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign countries; (2) notifying
policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by the employees and conflicts of interest in the
The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by
The derivatives broker shall put in place policies, regulations, and guidelines for supervising the trading of derivatives by the employees in order to prevent the illegal use of internal information by