commercial bank or the securities company under either (1) or (2) holding more than 50 percent of the total number of shares with voting right of such person; (4) a company which is newly established for the
established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through
brokerage, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions established under
, securities finance, securities borrowing and lending, securities dealing or securities underwriting, which is not limited to debt instruments, exclude financial institutions established under specific laws or
) a finance company; (c) a securities company; (d) a securities depository center ; (e) a financial institution established under specific law. (2) a contract on an appointment of an agent to undertake
company; (d) a securities depository center; (e) a financial institution established under specific law. (2) a contract on an appointment of an agent to undertake custody of clients’ assets shall be made in
: _____________________________________________________ Home Jurisdiction: ________________________________________________________ [ ] 1. Form 69 – CIS full (completed by CIS Operator) [ ] 2. Evidence demonstrating that NRI CIS is legally established
other interested person as specified in the notification of the SEC; (4) purchase and sell futures and options on securities whether in its own name or for customers unless the SEC issues a notification