Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and operational

Printable Format - Laws and Regulations Derivatives Dealer |- Definitions (Section 3) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS

control and follow up measures to ensure effective implementation . Clause 4/1. The applicant for a derivatives business operator registration in the category of derivatives dealer under Clause 2 (4) shall

, including control and follow up measures to ensure effective implementation . Clause 4/1.2 The applicant for a derivatives business operator registration in the category of derivatives dealer under Clause 2

Determination of Undertaking not Deemed as a Derivatives Dealer

) | - |- Dealer of capital market product denominated in foreign currency | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of

registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and

registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and

Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer (No. 2)

Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer