Office may prescribe other conditions for the derivatives broker to comply with. Clause 10. The derivatives broker shall procure personnel who are knowledgeable, capable or experienced and who are
. and no later than 9.00 P.M. and shall open on holidays and during the said hours by notify to the Office in advance; (2) in any cases other than (1) the securities company shall extend its opening hours
: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
knowledgeable and competent persons. 9. Supporting staff in developing knowledge, skills and abilities required to perform the assigned tasks including the evaluation of such knowledge and skills. The development
. Division 2 Opening of the Derivatives Trading Account and Acting as the Derivatives Broker --------------------------------------- Clause 16. In acting as derivatives broker, derivatives broker shall enter
plan; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3) Reporting result of the
continuity plan under Clause 6; (2) Evaluation of the test results under (1) and preparation of the test evaluation report by the personnel in charge who is qualified, knowledgeable and independent; (3
take advantage of an outsider or disclose such information to be utilized by other persons. Division 2 Opening of the Securities Trading Account and Acting as the Securities Broker Clause 15. In this
at least of the following: □ (1) Number of employees; □ (2) The qualifications to prove that personnel is knowledgeable, competent and experienced suitable for the assigned task and such personnel
persons’ use. Division 2 Opening of Securities Trading Account and Undertaking of Securities Brokerage _________________ Clause 18 In this division, “ securities company ” means a company licensed to