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
used in determination of partner’s remuneration? (Do not need to specify amount of remuneration, just describe the criteria ) 10 Does the firm carry out the staff satisfaction survey results? If yes
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
complete evidentiary documentation, provided that the Thai feeder fund meets all the applicable requirements and all outstanding issues are addressed to the satisfaction of the SEC by such time. (2) A Hong
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
with short position) are required to make an initial margin deposit with their futures agent to secure their performance under futures contracts. Since the amount of initial margin is small compared to
be an established guideline on cryptographic algorithm, key length, usage practices and secure process for key management. The intermediary should monitor key management related activities at a regular