Investment Scheme and Submission of Evidentiary Documentation in Chapter 1; (2) Provisions relating to Draft Prospectus in Chapter 2; (3) Reporting of the Sales of Units of Foreign Collective Investment Scheme
the trading of any derivatives contract shall submit to the SEC Office an application for approval of the forms and terms of such derivatives contract via Form 67- 1 together with the evidentiary
trading center shall submit the application together with the accurate and complete evidentiary documentation in accordance with the Licensing Manual for the Public to the SEC through the SEC Office at
with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23
trading of the client, and the controlling person of the client, and consider and arrange sufficient information or evidentiary documentation to be informed of the client’s financial status and debt-paying
our aspiration to become “Customers’ Life Platform of Choice”, meaning the most-preferred platform that can meet customers’ needs in every aspect of their lives, in order to deliver an excellent
Community (AEC), and the advancing digital age amid the rapid pace of technological advancement, thus leading to changing customer behavior, regulatory changes and life platform-driven competition. Given the
financial transactions: (1) shares of an investment company; (2) unit trust certificates; (3) instruments or evidentiary documentation showing the right in the assets of collective investment schemes. “CIS
evidentiary documentation related to its proprietary trading in accordance with the following rules: (1) the report on the purchase and redemption of investment units under (1) of Paragraph 1 of Chapter 11