secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the
position under the first paragraph has any of the prohibited characteristics as prescribed in Section 23, the SEC Office shall have the power to instruct the derivatives business operator to suspend such
management company; or a management company is unable to continue to meet the criteria set out under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently
. In considering the application under Clause 5, the SEC Office, in addition to reviewing the application and the supplementary documents, shall be authorized to instruct the applicant to provide
liquidity for derivatives trading in derivatives exchange; (4) “ initial margin ” means the minimum amount of assets which a client shall deposit to secure the performance of derivatives when entering a
derivatives broker. “Derivative exchange” means any derivative exchange licensed by the Securities and Exchange Commission. “Initial margin” means the minimum amount of asset a customer must deposit to secure
account or the person who has power to instruct the orders for securities trading of the client’s account is an employee of other securities companies, the securities company shall act as follows: (1
customer to secure the performance of derivatives contract when a derivative position is initiated; (4) “ maintenance margin ” means the minimum amount of assets to be maintained by a customer as long as the
protect IT assets in accordance with the following criteria: (1) assess security requirement of IT assets based on their results of a risk assessment and criticality; (2) define the secure areas and the
securities company should arrange an information security system according to the following guidelines: (1) putting in place a secure and efficient system for safekeeping information, evidentiary documentation