agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are several subsidiaries or associated companies, they may be presented in

another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or affiliates, they may be presented in business groups; - In case

may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being

of the relationship with clients (on-going KYC/CDD). Clause 9. In conducting the KYC/CDD process pursuant to Clause 8, securities company is required to perform the following:- (1) identify the

to purchase or sell the securities at the bid-offer price only in the case subject to such conditions, provided that the securities company shall clearly identify the fact which is the cause of

under a specific law; (2) being able to show that a work unit responsible for providing services as securities registrar will be established separately from other work units; (3) being able to show that

position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the

control and good practice; (3) being able to show that the capital market personnel performing duties in any of the following areas have the qualifications and do not have any prohibited characteristics

clients An intermediary shall compile [i] sufficient information relating to clients in order to identify the clients and [ii] other information for supporting its properly provided services; (10

subsidiary formed by a joint venture agreement with another business group, identify the name and the shareholding proportion of the joint venture partner. (If there are numerous subsidiaries or associates