limitations, risks and conditions different from the provision of services by licensed derivatives business operators, and that the client’s consent is required prior to provision of such services; 3 (4) make
limitations, risks and conditions different from the 3 provision of services by licensed derivatives business operators, and that the client’s consent is required prior to provision of such services; (4) make
Company Relating to the Using of Back Office Service From Service Provider dated 23 July 2003 shall be repealed. Clause 2. In this Notification: “Securities company” means a company licensed to undertake
Office Service From Service Provider dated 23 July 2003 shall be repealed. Clause 2. In this Notification: “Securities company” means a company licensed to undertake securities business in the category of
and approval for appointment of an executive of a derivatives business operator as follows: Clause 1. In this Notification: “derivatives business operator” means a juristic person licensed to undertake
executive of a derivatives business operator as follows: Clause 1. In this Notification: “derivatives business operator” means a juristic person licensed to undertake derivatives businesses; “executive” means
for approval and approval for appointment of an executive of a derivatives business operator as follows: Clause 1. In this Notification: “derivatives business operator” means a juristic person licensed
2004; the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification: “Securities company” means any company licensed to undertake securities
company licensed to undertake securities business in the category of securities brokerage, securities dealing, securities underwriting, mutual fund management, private fund management and securities