or Clause 8 of Chapter 1, as the case may be. Chapter 1 The Applicant _____________ Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a
Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license type A or is in a process of
Chapter 1, as the case may be. 4 Chapter 1 The Applicant Clause 5 The applicant for derivatives business license type Sor-1 shall be: (1) a securities company which obtains a securities business license
___________________ Chapter 1 Fund Managers __________________ Clause 3 In this Chapter, “relevant employee” means an employee of an investment management company who, in the course of his/her job duties, receives
) shall be- (1) securities company which obtains securities business license in the category of securities brokerage but shall not include securities company which obtains securities business license in the
exchange only when obtains an approval from the Office. Clause 6. The derivatives broker with the following qualifications are allowed to trade derivatives contract according to Clause 5: (1) having
foreign financial institution or through derivatives exchange only when obtains an approval from the Office. Clause 6. The derivatives broker with the following qualifications are allowed to trade
the result of the application in the Office’s electronic work system within thirty days as from the date the Office receives complete and accurate application together with supplemental documents. In