equipped with knowledge and capability in trading futures contracts and protecting their own interest.

) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration

pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe and secured

provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such

of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and

notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of

in accordance with the objectives of protecting investors, promoting fairness, efficiency, transparency of the capital market, and reducing financial systemic risk, and also in convergence with the

system for enhancing and protecting the orderly operating mechanism of the trading system; (f) having a controlling mechanism to ensure that the service user who offers to buy or buy securities in the