of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5.5 Derivatives broker shall
of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5. 5 Derivatives broker shall
Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well as the
Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well as the
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the
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 include, internal control
the Office of the Securities and Exchange Commission No. SorThor. 20/2549 Re: Rules for Derivatives Broker on Using of Derivatives Investor Contact Service and Back Office Service from Service Provider
control the volume of such transactions made by derivatives broker. Notification of the Office of the Securities and Exchange Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and
issue this Notification in order to monitor and control the volume of such transactions made by derivatives broker.