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the risk of members and clients shall be calculated separately and the profit of the clients shall not be used to offset the loss of the members; (2) margin requirement from each member for existing and
returns are fitted using GJR-t-GARCH models and then analysed using time-varying conditional copulas to ascertain if tail dependence exists. The study tests a number of well-known copulas, i.e., Gaussian
the person controlling securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail
support of the consideration of the application for opening an account in order to ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and
appropriateness of the existing one), the companies should provide the explanations and solutions from such findings. 1 COSO is a joint committee of 5 professional associations including the American Institute of