fund; “Registered person” means any person who is registered as a qualified fund supervisor; “Association” means any association relating to securities business, which has been approved by and registered
Securities and Exchange Commission; □ A limited company or a public limited company whose main principles are in the business of securities or financial instruments custody and of other businesses as approved
businesses as approved by the Office of the Securities and Exchange Commission (if any); □ has operated its business for more than 3 years; □ has operated its business for less than 3 years. Shareholder of an
Associations, which are approved by the Office; (8) “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial
management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry Associations, which are approved by the Office; (8) “Office” means the
” means guidelines concerning risk management to prevent the use of securities business for money laundering and financing of terrorism issued by the Securities Industry Associations, which are approved by
employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the derivatives broker’s board of directors, and comply with the
the employees and conflicts of interest in the employees’ performance of their duties. In this regard, the policies, regulations, and guidelines shall be formulated in writing, approved by the