control and follow up measures to ensure effective implementation . Clause 4/1. The applicant for a derivatives business operator registration in the category of derivatives dealer under Clause 2 (4) shall
, including control and follow up measures to ensure effective implementation . Clause 4/1.2 The applicant for a derivatives business operator registration in the category of derivatives dealer under Clause 2
registration to be a derivatives business operator in the category of derivatives broker and derivatives dealer, additional matters in detail are required as follows: 2.4 Policy and measure on risk control and
: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the Notification of the Securities and Exchange Commission No
Securities and Exchange Commission No. SorThor. 8/2548 Re: Operational Control and Security for Information Technology of a Licensed Derivatives Broker. By virtue of the second paragraph of Clause 7 of the
. KorNor. 22/2552 Re: Determination of Investment Management not being regarded as Securities Business in the Category of Private Fund Management _____________ By virtue of Section 4 and Section 14 of the