nesses in the oup. mentioned d ll complete s vant approval general publi n accordance hen transfer th ess of any cir eeting in adva ovide opinio o analyze an subsidiaries d Road, Km , 32 square
securities dealing under foreign law; (5) “ retail client ” means a client who is not an institutional investor or a high net worth investor; (6) “ institutional investor ” means an institutional investor as
law; (5)1 “retail client” means a client who is not an institutional investor or a high net worth investor; (6)2 “institutional investor” means an institutional investor as defined by the Notification
thereupon to an intermediary within 30 days as from the date when the SEC Office received the complete and accurate application together with the evidentiary documentation in accordance with the Licensing
change, such as, acquirement of additional business license, merger and acquisition or change of used technology. 8.5 Companies shall keep documents in relation to the test to be complete and up-to-date
incidents happen, it will disrupt and significantly affect customers, business operation, financial status or reputation of 1 BCI Good practice guidelines http://www.thebci.org/ 2 High-level principles for
, accurate and complete in all respects. I also certify further that the said documents neither contain any false or misleading statement in materiality nor omission of any material statement that ought to be
of the application. If the examination on such knowledge has been passed for a period of time exceeding two years on the date of submission of the application, such applicant shall complete such
of time exceeding two years on the date of submission of the application, such applicant (Translation) - 3 - shall complete such knowledge training courses administered by an association or a training