(3), as the case may be. Clause 5 For compliance with this Notification, the SEC Office shall be empowered to stipulate in detail the criteria for the following matters: (1) details on liquid assets
has been activated. In the case where a licensee has obtained more than one license, the licensee shall pay the total fees of all activated licenses collectively at the same time. Clause 4 The licensees
notice of such intentioin to the SEC Office is not required to comply with the provisions under Clause 3 and Clause 4. The SEC Office shall be empowered to require the derivatives broker under the first
duty to comply with the Notifications of the Securities and Exchange Commission concerning Maintenance of Financial Condition of Licensed Derivatives Brokerage. The SEC Office is empowered to require the
exempted from the duty to comply with the Notification of the Securities and Exchange Commission re: Maintenance of Financial Condition of Licensed Derivatives Broker . The SEC Office is empowered to require
obtained more than one license, the licensee shall pay the total fees of all licenses together. In this regard, the payment obligation shall only apply to the licenses that have been activated. Clause 5 The
under the KYC/CDD process; (4) the account is re-activated by a large size of transaction after being inactive for some time; (5) significant amount in terms of size/volume is transacted, which is
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
management company . Chapter 3 Power of the SEC Office regarding Issuance of Orders or Regulations ___________________ Clause 16 In addition to the specific provisions hereof, the SEC Office is empowered to