Providing Compliance Unit of an Intermediary
Providing Compliance Unit of an Intermediary
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives
Approval for Undertaking Derivatives Business in the Category of Derivatives Brokerage Limited to Precious Metals Derivatives
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager
Repeal of the Notification of the Office of the Securities and Exchange Commission regarding Rules for Appointment of Independent Director of Intermediary