the SEC Office. Clause 15 The derivatives broker shall keep records of giving advice and accepting trading orders in accordance with the criteria prescribed and notified by the SEC Office. Clause 168
SEC Office to suspend functioning as appraisal company in capital market or being under the period of time that the SEC Office could refuse to accept the application. Clause 11 A person would obtain an
transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk management, there
derivatives transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk
prices as well as financial status, ability to deposit of margins and debt repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC
repayment records of the client; (2) require initial margin from a client no less than the rate or value prescribed by the SEC Office; (3) calculate the market prices of derivatives held by a client including
include experience, for example, education, employment record, affiliation, job positions, work experience, test/training records, certification numbers of locally certified public accountants/international
asset inventory demonstrating details and amount of client’s assets and records of acquisition and disposition of assets of each client; □ (3.5) System to monitor and tracking benefits arisen from