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Article NO. Content

Title:

Regulations Governing the Acquisition and Disposal of Assets by Public Companies  CH

Amended Date: 2018.11.26 
Article 20     A public company engaging in derivatives trading shall adopt the following risk management measures:
  1. Risk management shall address credit, market, liquidity, cash flow, operational, and legal risks.
  2. Personnel engaged in derivatives trading may not serve concurrently in other operations such as confirmation and settlement.
  3. Risk measurement, monitoring, and control personnel shall be assigned to a different department that the personnel in the preceding subparagraph and shall report to the board of directors or senior management personnel with no responsibility for trading or position decision-making.
  4. Derivatives trading positions held shall be evaluated at least once per week; however, positions for hedge trades required by business shall be evaluated at least twice per month. Evaluation reports shall be submitted to senior management personnel authorized by the board of directors.
  5. Other important risk management measures.