. “ association ” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish and having registered

a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish from and having registered [such establishment] with the SEC

for safeguarding their user IDs, passwords, and any personal information that may be potentially used to request a change of the user IDs and passwords. 5.4. System and Application Access Control

regulations: Clause 1 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to

for experimenting and developing an innovation in a controlled environment to support provision of services related to capital market. “ approved person ” means a person who is approved by the SEC

equipped with knowledge and capability in trading futures contracts and protecting their own interest.

fund manager s; and (4) derivatives advisors. Division 1/1( Specific Regulations on Providing Services of Derivatives Dealer Clause 12/1 An intermediary shall shall arrange a procedure for ensuring that

intermediary shall arrange a process ensuring that the client is aware of risks relating to trading derivatives by at least preparing risk disclosure statement which contains the minimums of particulars and

provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such

1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and