business license type Sor-1 which qualified as a legal entity under clause 5(10), the following conditions shall also be considered: (1) in the case where the licensee undertaking derivatives business under
measure on relevant conflicts of interest; (4) the selection of service provider shall be considered prudentially as a professional. Clause 16 3 An intermediary shall arrange to have a written contract
preventive measure on relevant conflicts of interest; (4) the selection of service provider shall be considered prudentially as a professional. Clause 163 An intermediary shall arrange to have a written
or having been an executive of the ………… Company who was considered by the concerned agency that he or she has participated in causing damage or might be responsible for the damage occurring to the
subsequently increased its capital under the assistance of a State agency or financial institution, unless exempted by the SEC: O yes O being or having been an executive of the ………… Company who was considered by
approval for any person, reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents and evidence as considered appropriate within the time as specified by
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring
segregation of clients’ assets by the securities company in accordance with the methods specified under Clause 18(1) (a) or (2) (a) shall not be considered as an appointment of an agent to undertake custody of