violations; 1.4.2 There are procedures for suitable and timely punishment or management of the violations; 1.4.3 There are timely and suitable corrections for the violations of rules for integrity and code of
which are enforceable on other derivatives clearing houses in tiered participation arrangements; (3) ability to demand or enforce collateral promptly; (4) sufficient sources of funds to handle risks
2018 and 2019 were 18.9% and 17.6% , respectively. This assumed that the Company could handle more effective at controlling employee’s remuneration, traveling expenses, and infrastructure expenses
) 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
) 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
sources of funds to handle risks arising from connected services. In cases where a central securities depository desires to provide tiered participation arrangements with another central securities
relating to disciplinary punishment for members’ demeanor to the SEC Office without delay; (b) disclosing information relating to [i] violations or offences in connection with asset appraisal or failing to
to materialize the punishment. 1.4 Closely monitor and analyze listed companiesû financial statements for irregularities as well as emphasize on preparation of auditorûs report to ensure that it is
market will 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
investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This