, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the notification of the Office when
) |- Auditors | - |- Approval (Section 30) |- Accounting and Financial Statements (Section 27, 28) |- Reporting Requirements |- Anti-money Laundering |- Arbitration |- Appeal |- Others | - |- Public Holidays
to the inquiry official’s investigation, the public attorney’s prosecution, and the court’s adjudication, respectively. --------------------------------
Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public Holidays (Section 110) | - |- Segregation of Finance and Securities Business & Merger (Section 90
) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration |- Appeal |- Others | - |- Public
) | - |- Branches (Section 92) | - |- Representatives Offices Establishment (Section 93) |- Complaint Handling |- Anti-money Laundering |- Information Technology |- Business Continuity Management (BCM) |- Arbitration
e-service Online Submission See canceled document Derivatives Agent >> Arbitration Type Title Section See Document Status Notified Date Effective Date 1. Notification of the Office of the Securities
e-service Online Submission See canceled document Derivatives Dealer >> Arbitration Type Title Section See Document Status Notified Date Effective Date 1. Notification of the Office of the
Technology Arbitration Appeal Others Licensing / Registered Capital / Fees Business Conduct Protection of Customer Assets (Section 98(3)) Reporting of Securities Allocation (Section 81) Net Liquid Capital Rule