” means gold, silver or platinum. Chapter 1 Qualification of Applicant _________________ Clause 3 An applicant applying for the license of precious metal derivatives brokerage shall be newly established
), (2), (3), (7) and (8), excluding the licensees which are commercial banks, finance companies or financial institutions established under the specific laws, for the business operation as per Clause 4(1
business operation as per Clause 4(1), (2), (3), (7) and (8), excluding the licensees which are commercial banks, finance companies or financial institutions established under the specific laws, 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
continuity plan under Clause 6 covers events of disruption of service providers except where the securities company has established any arrangement to ensure that the relevant service provider is able to
providers, the securities company shall ensure that the business continuity plan under Clause 6 covers events of disruption of service providers except where the securities company has established any