__________________________________________________ _____________________________________________________________________ 2. I/We am/are not currently being subject to any suspension or revocation order or action by Home Regulator regarding the
Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by Qualifying CIS Operator ) [ ] 2.* Standard letter issued by the Home Regulator to a
demonstrate to the Office that: (1) being a derivatives business operator in the category of derivatives dealer in accordance with the law of its home country; (2) undertaking derivatives business in the
not currently being subject to any suspension or revocation order or action by Home Regulator regarding the license or business activities. Yes No If “No”, please specify
company, or a financial institution established under a specific law under Clause 4(1) (2) and (4) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the
....................................................................................................................................................... ....................................................................................................................................................... ....................................................................................................................................................... ( - Specify the key features of the securit...
Objectives of practice guidelines for business continuity management The SEC provides this practice guidelines for being a guideline in practice through which covers a critical matter of business continuity
infrastructures or real estates or real estate development businesses. However, such scheme shall be established upon aproval, registration or any other similar action from the the home regulator of any ASEAN
and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The