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

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

operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2

investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of

company, or a financial institution established under a specific law under Clause 4(1) (2) and (4) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the

) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for

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

characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of occurrence. Supplementary

System and Personnel _____________________________ Clause 11 An intermediary shall equip management structure, operating system and personnel appropriately and sufficiently in order to be capable to

_____________________________ Clause 11 An intermediary shall equip management structure, operating system and personnel appropriately and sufficiently in order to be capable to operate business efficiently, responsibly and in