Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications
Licensing |- Activities not deem to be classified as operating securities business |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications
Capital (Section 96) |- Business Operation Rules |- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting Requirements |- Fees
| - |- Branch Office | - |- Foreign Derivatives Agent |- Margin Requirement (Section 18) |- Other related business (Section 22) |- Protection of Customer Assets (Section 33) |- Internal operation of Securities
Companies | - |- Know Your Clients | - |- Books & Records Requirements | - |- Online Submission | - |- Risk Control | - |- Compliance / Internal control | - |- Information Technology |- Internal operation of
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resolution of the unitholders; (10) operation related to the management of mutual fund; 2 (11) effectiveness of the mutual fund scheme; (12) revision and addition to the mutual fund scheme; (13) collection of
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