(section 109) |- Revocation of License (section 147) |- Service Outsourcing Guide for Securities Companies Others (Securities Business) |- Separation of Securities and Finance Businesses & Merger (section
or an act of any person or a failure to order or act according to the duties as aresult, between June 4, 2020 and May 31, 2021, Asia Wealth as a securities broker, incomplete separation of customer
on issues of related party transactions and separation of businesses among the applicant and group of parent company which have effect on shareholder rights. Besides, {X1} Company had jointly prepared
services to protect investors’ asset and stringent supervision on asset separation to keep private funds safe without asking for the approval of being custodian again. Such move will improve flexibility
’ assets and strict supervision on asset separation. The private fund operators can self-custody for its assets under management without applying for the approval of being custodian. Such a move will
will be allowed to manage REITs? non-real estate assets, providing that there must be a separation of management and compliance units while Chinese wall must also be in place. Outsourcing of the
e-service Online Submission See canceled document Others (Securities Business) >> Separation of Securities and Finance Businesses & Merger (section 90) Type Title Section See Document Status