(Translation) 2 Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker, derivatives broker shall provide service only for institutional investor, and in
(Translation) 2 Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker, derivatives broker shall provide service only for institutional investor, and in
use to provide service and store document; (2) arrange to have a notice board, which can clearly be seen, indicating the nature of services to be provided on the area under (1). Clause 9. The branch
for the branch office to serve customers and to store documents separated from space that other people use to provide service and store document; (2) arrange to have a notice board, which can clearly be
: “Derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact
to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact service or back office service; “Securities
: “Derivatives broker” means a juristic person licensed to undertake derivatives business in the category of derivatives broker. “Service Provider” means service provider who provide derivatives investor contact
who provide back office service for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or
the securities brokerage, securities dealing, securities underwriting, securities borrowing and lending or securities finance business; “Service provider” means a person who provide back office service
who provide back office service for securities company; “Back office” means operation, accounting and finance, information technology concerning to client information, internal audit, compliance or