Clause 2(2) must cover all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient
statement for futures trading that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk
that contain the minimum aspect of disclosure prescribed by the SEC Office. Hence, for the purpose of providing the derivatives broker with guideline for preparing a risk disclosure statement for futures
plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for maintaining or recovery of business operations which contain sufficient
. Clause 6. A securities company shall establish in writing a business continuity plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for
derivatives broker; (2) “ derivatives exchange ” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “ initial margin ” means the minimum amount of asset to be deposited by a
derivatives broker; (2) “derivatives exchange” means any derivatives exchange licensed by the Securities and Exchange Commission; (3) “initial margin” means the minimum amount of asset to be deposited by a