brokerage; (8) derivatives advisory providing investment planning to clients or using software programs in providing services to clients; (9) derivatives manager; In the case that an intermediary under the
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
Repeal of the Notifications related to Operation of Securities Business and Derivatives Business by Securities Company and Derivatives Intermediary
operation to access the critical information system via direct connection to the organization’s internal network systems; “teleworking” means the operation which accesses the critical information system with
operation to access the critical information system via direct connection to the organization’s internal network systems; “ teleworking ” means the operation which accesses the critical information system
Receive Date Details ADVANCED CONNECTION CORPORATION PUBLIC COMPANY LIMITED 2023 19/04/2024 ADVANCED CONNECTION CORPORATION PUBLIC COMPANY LIMITED 2022 30/05/2023 ADVANCED CONNECTION CORPORATION PUBLIC
Rules on Appointment of a Third Party as a Service Provider on Behalf of an Intermediary or as a Marketing Agent of a Derivatives Fund Manager