whole or in part, to manage the business of the securities company only with the approval from the Office. In cases where it later appears that the persons under the first paragraph have the prohibited
an intermediary under receivership by court order for the benefit of managing the clearing and settlement of derivatives or securities of clients , and for the management of clients’ assets having no
according to the guidelines under (1) as well. If the holding company operates business of various types with a central company performing the role of managing subsidiaries or associated companies in each
and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for communicating and providing
service provision appropriately and adequately throughout the period of participating in the regulatory sandbox ; (b) assessing and managing potential risks from service provision; (c) having procedures for
on the operation of intermediaries, investors, and confidence in the capital market. Senior management, therefore, has an important role in managing the implementation of information technology in the
notification of the SEC. “derivatives fund manager” means any person who, in the ordinary course of business, engages in the business of managing funds for others, or holds himself out to the general public as
regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4
know or should not have known that the acquired property has been disposed or transferred in breach of trust. SECTION 41 In managing a trust or delegating any person to manage a trust in accordance with
shall establish the information security incident management in accordance with the following criteria: (1) establish procedures and processes to manage information security incidents; (2) define the