applicant; (3) Certification of the leader of the auditor firm; (4) Profile and details of the audit firm; (5) Cover letter for delivery of the evidentiary documentation related to the audit firm; (6) Copy of
assets held by a derivatives broker for its client for delivery settlement according to client’s derivatives transaction; (d) cash, securities, or any other assets which a derivatives broker received from
derivatives broker for its client for delivery settlement according to client’s derivatives transaction; (d) cash, securities, or any other assets which a derivatives broker received from a client for clearing
in assets, which are held by a derivatives broker on behalf of its client for the purpose of making delivery, or which are obtained upon receiving delivery according to such client’s derivatives
participating in the regulatory sandbox, and that the service user’s consent is required prior to provision of services; (4) making an agreement with the service user related to obligations to damage that may be
the following matters: (1) Receipt or delivery of client’s assets; (2) Record of the particulars of client’s assets; (3) Management of client’s assets information. Clause 7. For the custody of client’s
delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of securities borrowing and lending (SBL); “Central securities
Notification: “Short sale” means the selling of securities where delivery is made with borrowed securities; “Business operator” means a person licensed to undertake securities business in the category of
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of