the SEC Office. Clause 6 In applying for the derivatives exchange license, the applicant shall allow and facilitate persons designated by the SEC Office to access the applicant’s place of business or
.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please specify
.: _____________________________ Fax No.: _________________________ 15) Is the CIS Operator currently licensed or authorised to conduct fund management in the jurisdiction of its principal place of business? Yes No If “No”, please
MRF MoU requires business operators to comply with the regulations of the host regulator of the jurisdiction wherein the offerings of fund take place; · The SEC is revising the related regulations to
related to sales conduct, HK-TH MRF MoU requires business operators to comply with the regulations of the host regulator of the jurisdiction wherein the offerings of fund take place; - The SEC is revising
providers. (2) Maintain the ceiling for interest rates charged on personal loans at 28 percent per annum. KBank has already put in place relevant operational procedures to accommodate these new regulations
stationed at the office of the securities company where the communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company ’s
communication with the client of such matter takes place; (b) arrange a system that allows the client to communicate with the securities company’s employee who can provide such information to the client at the
specific information regarding work place location, time period of work, position, scope of work and responsibility, and proportion of time working for asset custody function to the total time of working
place location, time period of work, position, scope of work and responsibility, and proportion of time working for asset custody function to the total time of working; □ (2.3) Personnel planning for