providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives
services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives contract
scheme which is established in an ASEAN country. In this regard, such scheme shall be [i] granted an approval from, [ii] registered with or [iii] permitted for any undertaking in a similar manner of such
total aggregate amount of investment in shares shall not exceed sixty percent of the total investment of the intermediary unless a waiver is granted by the SEC Office. The investment fund under Paragraph
total aggregate amount of investment in shares shall not exceed sixty percent of the total investment of the intermediary unless a waiver is granted by the SEC Office. 5 The investment fund under
return the license of securities registrar to the Securities and Exchange Commission by submitting it to the Office , in which case it shall be deemed that the registrar is granted the cancellation of the
the Securities and Exchange Commission by submitting it to the Office, in which case it shall be deemed that the registrar is granted the cancellation of the service provision as securities registrar