be approved by the SEC Office upon full compliance with the following criteria: (1) the applicant is the issuer of depositary receipts in accordance with the criteria specified in Division 1 of this
in compliance with Division 3 Treatment of Customer Property and Division 4 Protection of Customer Property of Chapter 2 of the Derivatives Act. Clause 9. In case the derivatives fund manager is the
shall be in compliance with Division 3 Treatment of Customer Property and Division 4 Protection of Customer Property of Chapter 2 of the Derivatives Act. Clause 9. In case the derivatives fund manager is
of Units of Foreign ETF ------------------------- Division 1 Filing of Application for Examination -------------------------- Clause 3 Any person intending to request an examination of characteristics
) Company Secretary Board Secretary Division Tel. 0 2695 9499 Ext. 9335, 9414 Fax. 0 2695 9495 Finance and Accounting Division Tel. 0 2695 9499 Ext. 9421, 9449
______________________ Division 1 Approval Rules ______________________ Clause 16 The applicant for an offer for sale of bonds shall have the following qualifications: (1) the financial statements and the consolidated
accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital market will
knowledge in accordance with the guidelines for renewal of approval for investor contacts as prescribed by the Office. The prescription is to ensure that investor contacts who play vital roles in the capital
investor contacts who play vital roles in the capital market will pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This