company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up
Maintenance of capital funds and reserve (only in the case of a CB. or FC.) - a documentary evidence showing that the applicant is capable of maintaining capital funds and reserve prescribed by the law
any securities; “general advice” means giving advice to any person regardless of the purpose of investment, financial position and desire of such person; “specific advice” means giving advice to any
company shall provide a reservation of information and computer system of the securities company which is capable of supporting the business operation continuously, efficiently and up to date. Clause 9. The
structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial
, departmental director or any equivalent position called otherwise, and shall include a person having entered into an agreement for full or partial power of management. “ general investor ” means an investor who
Office to participate in a regulator sandbox in accordance with this Notification. “ executive ” means a manager, deputy manager, assistant manager, departmental director or any equivalent position called
” means a securities company licensed to undertake securities business in the category of securities underwriting; (5) “executive” means a manager or an employee holding the position of departmental manager
shall render the company is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the
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