office or a manager from a branch office. Clause 11. For a management company that is going to close any branch office either temporarily or permanently, the date which the management company closes such
, cash paid or received from borrowing, prepaid cash to customer, cash receipts or paid for trading temporarily investment, cash receipts from the due disposal property etc.. Cash flow from investing
management company; or a management company is unable to continue to meet the criteria set out under Clause 5, the Office shall have the power to instruct the branch office to close temporarily or permanently
temporarily granted an exemption from the requirement of independent director from 1 January 2007 until the date on which the securities company appoints an independent director within the specified period
revoke the approval of such branch office. Clause 16. The securities company wishing to temporarily or permanently close the branch office shall notify the Office and publicly announced its closing at its
branch office. Clause 16. The derivatives broker wishing to temporarily or permanently close the branch office shall notify the Office and publicly announced its closing at its premise in advance within
temporarily suspending services as derivatives agent, closing a trading account, limiting positions or trading volume, closing out the positions or performing any other act relating to derivatives trading of
company to temporarily manage the liquidity of any open-end fund, the management company may borrow money or enter into a repurchase agreement only when: (1) The counter-party is an institution; (2) The
management to prevent the use of securities transactions in money laundering and financing of terrorism, which include : (1) customer acceptance / establishment of a business relationship (2) temporarily