part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
margin for derivatives trading. Clause 7/1 In case a derivatives broker has transferred its client’s derivatives position to another derivatives broker by complying with the position transfer process of
unitholders on the dissolution date of the mutual fund. Once such process has been carried out, the liquidation shall be deemed to be completed. In distributing money to the unitholders according to the first
client. Nevertheless, the amendment process should take less than 30 days as of the changing date. In the case where the derivatives broker deposits or invests the segregated asset of client with financial
. Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license type A or is in a process of
persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient
shall be: (1) a securities company which obtains a securities business license type A or is in a process of applying for such license; (2) securities companies other than the securities company under (1
and inspecting in compliance with the process stipulated under (1), (2) and (3) by the intermediary ; (b) rectifying or taking any action if the communication and provision of services is found to be
before cancellation of the suspension thereof. While the revision and updating of client information under subclause (3) of the first paragraph is in process, the intermediary is allowed to provide
necessary or facilitate to process data completely, accurately, and effectively, such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Chapter 1