sale of equity instruments: Directors and executives of the applicant and the directors and executives of the financial advisor; Responsible directors of the experts and the experts, for example
purpose and FCD account without obligation, for which the outstanding balance must not exceed USD5 million. Moreover, cash deposit into an FCD account is increased from not more than USD10,000 per day, to
liquidity management is under the supervision of the Board of Directors, which is responsible for ensuring the appropriate level of capital and liquidity to accommodate our present and future business
Commissions (IOSCO) . Division 2 Board of directors and senior management responsibility Board of directors (“ Board ”) and senior management of the intermediaries shall be a responsible person for determining
management responsibility Board of directors (“Board”) and senior management of the intermediaries shall be a responsible person for determining the company’s strategies and policies on the business continuity
have been invested, or be a legal custodian in the country where such custodian is located. (5) Be able to show that the personnel of the unit responsible for work relating to fund supervisor is ready or
the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to accepting sale orders or clearing the outstanding positions of capital
accepting sale orders or clearing the outstanding positions of capital market products in the clients’ accounts only, unless the intermediary is prohibited from accepting the sale orders or clearing the