connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the
period last year, especially in the tourism sector. However, exports and private investment – two major economic drivers – continued to slow in line with the sluggish global economy and trade volume amid
market business shall be persons who do not possess the prohibited characteristics as specified in Chapter 7. Chapter 4 Application for Approval and Granting of Approval Division 1 Application for Approval
shall be persons who do not possess the prohibited characteristics as specified in Chapter 7. Chapter 4 Application for Approval and Granting of Approval Division 1 Application for Approval Clause 15 The
or 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
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