pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
. An applicant shall submit an application and supplementary documents to the SEC Office in accordance with the format and procedures specified in the electronic work system of the SEC Office. Clause 5
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in
including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic
the Office in accordance with form and procedure together with supplementary documents as specified in the electronic work system of the Office. Clause 11 In applying for license, the application shall
equipped with knowledge and capability in trading futures contracts and protecting their own interest.
together with supplementary documents as specified in the electronic work system of the Office. Clause 11 3 Repealed. Clause 123 In the case where the Office considers that the applicant has properly and
management company shall assess the capability and be prudent in an establishment of a fund in order to ensure that such establishment has been done in accordance with the relevant laws and related
Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting