(section 92) Net Liquid Capital (section 97) Capital Reduction (section 98(1)) Anti-fraud Provisions (section 98(3)) Forward Transactions/OTC Equity Derivatives Transactions (section 98(4)) Proprietary
) |- Association Related to Securities Businesses (section 230) |- Terms and Condition for Information Technology |- Anti-Money Laundering and Combating of Terrorist Financing |- Others Executives of securities
) |- Auditors | - |- Approval (Section 30) |- Accounting and Financial Statements (Section 27, 28) |- Reporting Requirements |- Anti-money Laundering |- Arbitration |- Appeal |- Others | - |- Public Holidays
Company Name Licensee Type Status Company Name : Licensee Type : Score Type : Anti-Corruption Status : Certified by CAC Declared to join CAC Ensure its compliance by parent company Assessment Type : Status