SEC requests that business operators implement the BCP that must cover key work systems, including the trading system, the risk control system in compliance with the Net Capital Rules and the investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous monitoring and coordinating with the business operators, we have found that they have implemen...

Determination of Undertaking not Deemed as a Derivatives Dealer

Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer (No. 2)

Registration of Derivatives Business Operator in the Category of Derivatives Broker and Derivatives Dealer

Rules for Undertaking Derivatives Business for Registered Derivatives Broker and Dealer (No. 2)

Registration of Derivatives Business Operator In the Category of Derivatives Broker and Derivatives Dealer

Rules on the Undertaking Derivatives Business for Derivatives Broker and Dealer in the Category of Registered Type