following: • Types of fund shall be classified in accordance with the requirements specified in the Notification on Investment of Funds regarding fund labeling (such as fixed income funds, money market funds
: Clause 1. The following Notifications shall be repealed: (1) Notification of the Securities and Exchange Commission Re: Requirements relating to Accounting of Securities Company dated 18 May 1992; (2
secure, effective and efficient IT practices and IT usage in businesses. The update would also include requirements related to the information security audits and the qualifications of the auditor who must
objective and providing up-to-date information sufficient for risk analysis. The reporting requirements on those unused for supervising purpose will be eliminated while frequency of report submission will be
orders or perform the duties required to ensure compliance with the specified requirements, resulting in THL’s delayed submission of the annual financial statements SEC Act S.300 in conjunction with 56
trial); (3) procure an efficient market surveillance system which shall include at least the following requirements: (a) an information recording system that provides accurate and up-to-date unique
Notification Requirements (section 109) OTC Securities Brokers (section 113) Conduct Regulation of Securities Broker-Dealers (section 113) Revocation of License (section 147) Service Outsourcing Guide for