between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
business operator in the category of derivatives broker, derivatives dealer and derivatives advisor shall submit an application for registration in the form 16-4 and documentary evidence annexed to this
operator in the category of derivatives broker, derivatives dealer and derivatives advisor shall submit an application for registration in the form 16-4 and documentary evidence annexed to this Notification
standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation of written document or evidence for the acts of the
professional standards, together with the preventative measures. (5) Documentary preparation and record keeping which comprises of the following: (a) the preparation of written document or evidence for the acts
of written document or evidence for the acts of the personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the
seal has already been affixed electronically. 1 . 3 We agree to abide by the fact that the information which is deemed to have been submitted electronically by us under 1.2 can be referred to as evidence
information electronically to the SEC Office; 1 . 3 We agree to abide by the fact that the information which is deemed to have been submitted electronically by us under 1 . 2 can be referred to as evidence in
can be referred to as evidence in the legal proceedings and we shall not deny the existence of such information only because it is presented in an electronic form. 4 Clause 2 We acknowledge and agree
wishes to receive an evidence of the approval shall submit the requisition through the system provided on the website of the SEC Office. Clause 9 This Notification shall come into force as from 1 July 2014