The Exclusion of Investment Management for Private Equity Firm from Securities Business in the Category of Private Fund Management
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Rules in Detail on the Protection and Management of Conflicts of Interest
Rules in Detail on Financial Resource and Risk Management of Securities Clearing Houses
Rules in Detail on Financial Resource and Risk Management of Derivatives Clearing Houses
Clarification on Short Selling and Settlement of Securities for Management of Market Maker’s Risks Borne by Securities Companies and Management of Clients’ Assets In case of Internal Short.
Derivatives Fund Management Companies and Provisions in Case..
Rules in the Detail of Regulations Concerning the Establishment of Risk Management System for Business Continuity of Intermediaries
Practical Guidelines for Business Continuity Management