matching orders or arranging for counter parties, or by way of providing a trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a
trading facility for or facilitating those having intention to trade in derivatives to be able to agree upon or enter into a contract, and has been licensed or registered under this Act, excluding any
note etc. including negotiable instrument selling or discount negotiable instrument selling whose the buyer has a right of recourse. 13. Securities sold under repurchase agreement means the lending of
seeking to benefit from difference or change in price: (1) cash: (2) bank deposit or negotiable certificates of deposit of a financial institution which may be redeemed without any redemption period limit
operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as
, reliable and efficient operating system to support an intermediary ’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client , and [ii
company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give
proprietary trading which would be able to prevent the following occurrences: (a) negative result to financial status of an intermediary ; (b) affected trade of capital market products deviated from regularity
securities dealing to submit a report of securities dealing to work unit responsible for post-trade operation within reasonable period of time in order for the securities company to acknowledge and be able to
in compliance with different guideline, should it be able to demonstrate to the Office that such guideline provides for appropriate and effective operating system with acceptable standard. The