center or network with the characteristics as specified in the notification of the SEC. “derivatives clearing house” means any center or network where services for clearing and settlement of obligations
Related to Capital Market Which Are Not Deemed An Undertaking of Derivatives Exchange and Derivatives Clearing House for Which an Approval Is Required _______________________ By virtue of Section 3 and
investment decision accurately; (b) protection of the service user’s confidentiality; (c) handling of the service user’s complaints; (d) sufficient management of information technology risk and cyber risk by
Additionally Referred Underlying of a Derivatives in Type of Goods and Variables. “ clearing house ” means a clearing house by definition given under the Law on Securities and Exchange. Clause 2 The following
derivatives (contract), derivatives business, derivatives exchange, derivatives clearing house, regulatory association of derivatives business operators and prevention of unfair derivatives trading practices
Securities and Exchange Commission No. SorThor. 24/2548 Re: Approval for Auditor of a Derivatives Business Operator, Derivatives Exchange, and Derivatives Clearing House By virtue of Section 14, the second
contract, and has been licensed or registered under this Act, excluding any center or network with the characteristics as specified in the notification of the SEC. “derivatives clearing house” means any
; (6) “ derivatives exchange ” means any derivative trading center licensed by the Securities and Exchange Commission; (7) “ derivatives clearing house ” means any derivatives clearing house licensed by
clearing house, derivatives regulatory association or any other companies which are under the supervision of the SEC, the Capital Market Supervisory Board or the SEC Office. In case where any person having
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm