having shareholder being person as prescribed in (1) to (13) combining hold shares exceed 75% of share which entitle to vote; (15) foreign investors having qualifications as the investor prescribed in (1

equipped with knowledge and capability in trading futures contracts and protecting their own interest.

system for enhancing and protecting the orderly operating mechanism of the trading system; (f) having a controlling mechanism to ensure that the service user who offers to buy or buy securities in the

provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such

about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting the client ’s asset which is under the following rules: (a) in case the client ’s

related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the

; (c) being the manner of inappropriate investment as a professional; (d) bringing about [i] conflicts of interest with the client or [ii] unfairness to the client ; (9) having a system for protecting

employee shall contact an employee as scheduled. A significant change, such as, acquirement of additional business license, merger and acquisition or change of used technology. To focus on protecting

nature of deceit or dishonesty or irresponsibility, carelessness in protecting clients’ benefits or lack of cautiousness or unfair or unreliable business conducts; (4) Be able to show that its systems for

) appropriate guideline for risk assessment according to the degree of importance of the outsourced function; (6) information security system of a service provider for protecting the information of the