may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being
position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the
competition with the management company’s operation, unless the management company can show that its organizational structure does not cause any conflicts of interest or has established effective policy and
securities company (No. 2) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities
other persons in a manner which is similar to or which is in competition with the operation of the management company except where the management company can show that its organizational structure does
legal entity; (4) Being able to show that person who is director, manager or person with managerial authority being responsible for the applicant’s undertaking of derivatives business has qualifications
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has
such action until the complaint handling is completed. In the case where the giving of advice or negotiation with a client is made on telephone or electronic means, a securities company shall keep the
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