Printable Format - Laws and Regulations Investment Advisory |- Licensing/Ministerial Regulation |- Activities not deem to be classified as operating securities business |- Business Operation Rules

Printable Format - Laws and Regulations Derivatives Agent |- Definitions (Section 3) |- Licensing / Registration (Section 16) | - |- Licensing | - |- Activities NOT deem TO be classified AS operating

Intermediaries and professional Number of Companies 150 As of : 08 Mar 2025 Last Updated : 09 Mar 2025 Intermediaries and professional summary Number of Companies Classified by Type of Companies Download data

would be required to ensure that investors who are not legal entities classified as institutional investors, ultra-high-net-worth investors or high-net-worth investors take a knowledge test before

Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch

Subsidiary, Classified as Type 2 Transaction (List 1). (Please refer to Enclosure 1.) 2. It was approved to establish a new subsidiary as per the following details: Date of Incorporation : By January 2019

Establishment of Subsidiary, Classified as Type 2 Transaction (List 1). (Please refer to Enclosure 1.) 3. It was approved to change the purposes of use of proceeds from IPO, which is not material and complies

a bidding process. The Company shall complete such disposal within a period of no more than six months after it is granted the relevant approval by the shareholders meeting. The Company shall invite

investment policies” means a provident fund which employs more than one investment policy, whether it is a single fund or a pooled fund; “single fund” means a provident fund established for employees of a

directions that focus on effective, timely and proactive integrated risk management (IRM), internal operation efficiency, maximized resource utilization, along with better IT systems, to ensure that we will