contracts. “insurance” means the professional indemtity insurance. Chapter 1 Calculation and Reporting of Maintenance of Capital Division 1 Liquid Assets and Insurance Used for Maintenance of Capital Clause 4
Approval and Granting of Approval Division 1 Application for Approval Clause 15 The submission of an application for obtaining approval to be personnel in the capital market business and a renewal of such
subject to Division 1; (2) the intermediary shall obtain an approval from the SEC Office as prescribed in rules under Division 2 except where the provision in any Clause of this Chapter permits to do so; (3
characteristics of eligible service provider shall be subject to Division 1; (2) the intermediary shall obtain an approval from the SEC Office as prescribed in rules under Division 2 except where the provision in
______________________ 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
Investors from the Provisions of Public Offering for Sale of Securities dated 12 August 2012 shall be repealed. Chapter 1 General Provisions _________________________ Division 1 Scope of the provisions
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
invest in derivatives issued by any issuer or traded in any derivatives exchange which is not under the supervision of the Office, the Office shall have power to specify types of derivatives contracts in