Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a
imposed by the State or an authorized agency in supervising derivatives trading. O yes (please specify in detail) O no 2.4 Please summarize the rules which the State or an authorized derivatives supervision
conducting derivatives business as a derivatives dealer imposed by the State or an authorized agency in supervising derivatives trading. O yes (please specify in detail) O no 2.4 Please summarize the rules
principles and draft regulations under the Digital Asset Business Law to lay out guidelines for supervising offering of digital tokens and undertaking of digital asset businesses without causing undue
. Prapai Songserm, the bank’s branch manager at the time, whose negligence in supervising that her subordinate strictly comply with the bank’s regulations led to opportunities for committing the misconduct
mutual funds’ assets; (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested
; (Translation) 3 (f) Systems for preventing conflicts of interest, and for safekeeping of confidential information of mutual funds; (g) Systems for supervising the valuation of mutual funds’ invested assets in
describe C3 Does the person who is responsible for supervising the investigation · Has sufficient and appropriate experience · Has authority within the firm; and Is otherwise not involved in the