information for the following purposes prior to providing services: (1) knowing the client ; (2) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of
) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of capital market products ; (4) considering ability of the client to perform in respect of servicing
equipped with knowledge and capability in trading futures contracts and protecting their own interest.
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
financial stability with capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least
service providers, such service providers shall have financial stability with capability and readiness to provide service and comply with rules specified by the SEC or the Office and code of conduct
and their subsidiaries for the previous accounting period , on a quarterly basis and the year-end period, categorizing as: the auditors giving opinion on the financial statements (signing partners), the
paragraph to submit any necessary document or report within the appropriate period for the purpose of considering the capability to maintain its net capital . Clause 6 The derivatives broker may not reduce
Notification is that it deems appropriate to offer opportunities for gold business operators with proper qualifications and readiness in term of financial and management capability to undertake derivatives
the securities company under the first paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital