conduct approved by the board of directors or the executive board of directors of the securities company . Clause 5 A securities company shall establish measures for preventing an access to insider
Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of conduct approved by the board
on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by
policy on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned
least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized
” means derivatives exchange licensed from the SEC. (5) “derivatives regulatory association” means association approved by the SEC to be derivatives regulatory association. (6) “customer contact person for
licensed from the SEC. (5) “derivatives regulatory association” means association approved by the SEC to be derivatives regulatory association. (6) 1 “customer contact person for derivatives agent” means the
licensed from the SEC. (5) “derivatives regulatory association” means association approved by the SEC to be derivatives regulatory association. (6)1 “customer contact person for derivatives agent” means the