commencement of the outsourcing arrangement. The SEC ' s consideration factors include the qualifications of service provider, personnel, operating system and financial status. The consultation paper is
are in accordance with the form and procedure provided on the website of the SEC Office: (a) An application and supplementary documents; (b) A letter certifying that the person has qualifications and
related businesses and rules and regulations with respect to investor contacts as specified in the table of qualifications of applicants for approval for category A investor contact and category B investor
under this Notification shall be a limited company or public limited company which meets the qualifications prescribed under Clause 5, Clause 6, Clause 7 or Clause 8 of Chapter 1, as the case may be
under this Notification shall be a limited company or public limited company which meets the qualifications prescribed under Clause 5, Clause 6, Clause 7 or Clause 8 of Chapter 1, as the case may be. 4
derivatives fund manager; The applicant under this Notification shall be a limited company or public limited company which meets the qualifications prescribed under Clause 5, Clause 6, Clause 7 or Clause 8 of
qualifications prescribed under Clause 5, Clause 6, Clause 7 or Clause 8 of Chapter 1, as the case may be. Chapter 1 The Applicant _____________ Clause 5 The applicant for derivatives business license type Sor-1
category of derivatives fund manager; The applicant under this Notification shall be a limited company or public limited company which meets the qualifications prescribed under Clause 5, Clause 6, Clause 7
the same meaning as defined in the Notification of the Capital Market Supervisory Board governing qualifications and prohibited characteristics of directors and executives of securities company. (2