equipped with knowledge and capability in trading futures contracts and protecting their own interest.
or person who may have conflicts of interest that may impede the exercise of independent judgment, and any relationship that causes the inability to freely give comments on the operation of the
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
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
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
related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the
employee shall contact an employee as scheduled. A significant change, such as, acquirement of additional business license, merger and acquisition or change of used technology. To focus on protecting
nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for
demeanors; (5) other demeanors of the person under deliberation which benefit or impede the proceeding of the SEC Office; (6) record or any other past demeanor which indicates inappropriateness to be a
, or [ii] amendment, remedy or prevention against repetition of such similar facts or demeanors; (5) other demeanors of the person under deliberation which benefit or impede the proceeding of the SEC