juristic person, the directors or partners of such juristic person shall also not have the prescribed prohibited characteristics thereof; **(4) having sufficient readiness for providing services and ensuring
characteristics thereof; 5 **(4) having sufficient readiness for providing services and ensuring that the services provided to investors would comply with the regulations relating to providing investment
international organization concerning capital market supervision is crucial and necessary. The regulations under this Notification set a standard for operation of derivatives exchanges so that their services are
necessary. The regulations under this Notification set a standard for operation of derivatives clearing houses so that their services are efficient, transparent, and examinable, in a bid to promote confidence
should adopt reasonable measures designed to ensure that it has the appropriate knowledge and expertise, and that the information it uses in determining A-6 credit ratings is of sufficient quality and
Thornton Services Limited as its independent financial advisor to carry out such functions as required by the Notifications on Connected Transactions. In this connection, the Company did not execute any
in general, or the investors may not have received correct or sufficient information to support their investment decision making. Clause 11 If any one of the following characteristics is met, the SEC
securities clearing house or the central securities depository whose services are dependent with those of the securities clearing house; (3) ability to demand or enforce collateral promptly; (4) sufficient
entrust any person to perform the duties throughout the entire operation process as it may lead to corruption. Clause 8. A securities company shall maintain sufficient security system to prevent