committed a plan to ensure good governance, transparency, and corruption-free operation, and to enhance the efficiency of operations and services to achieve the SEC mission and better serve the needs of
services to ensure that any investment of the client shall be within the allocated investment limit under (1). Chapter 2 Specific Provisions related to Providing Services of Inbound Products Which Are
operated. General controls are implemented to ensure that all automated applications are developed, implemented, and maintained properly, and in addition, that the integrity of program and data files and of
supervise and ensure fair treatment for retail and SME customers will pose a heightened challenge to banking performance. To cope with these issues, commercial banks may have to fine-tune their strategies
undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/1 The derivatives broker shall put in place
, so as to efficiently accommodate the undertaking of the derivatives business, as well as establish control and monitoring measures to ensure that the operations are carried out as required. Clause 6/15
derivatives exchange shall ensure their readiness in providing derivatives trading services. To that end, at least the following matters shall be produced in writing: (1) a business continuity policy, with
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of