and in the best interests of each client, as well as monitor and supervise to ensure that any preparation and giving of advice adheres to the generally- accepted principles and that such advice is
and in the best interests of each client, as well as monitor and supervise to ensure that any preparation and giving of advice adheres to the generally- accepted principles and that such advice is
Notification. Chapter 4 Others --------------------------------------- Clause 28. Derivatives broker shall monitor and supervise to ensure that its personnel who provide services for derivative broker perform in
Derivative broker and outsourcing services according to the SEC Notification. Chapter 4 Others --------------------------------------- Clause 28. 16 Derivatives broker shall monitor and supervise to ensure
Derivative broker and outsourcing services according to the SEC Notification. Chapter 4 Others --------------------------------------- Clause 28.16 Derivatives broker shall monitor and supervise to ensure that
The derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law
derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on securities and exchange
any disgraceful record, and must comply with the performance standards as specified in the notification of the Office; (3) Supervise and monitor to ensure that its personnel perform in compliance with