limitations, risks and conditions different from the provision of services by licensed derivatives business operators, and that the client’s consent is required prior to provision of such services; 3 (4) make
limitations, risks and conditions different from the 3 provision of services by licensed derivatives business operators, and that the client’s consent is required prior to provision of such services; (4) make
of Derivatives Business Operators dated 3 August 2009 stipulate that the appointment or consent to have any person become or act as a director, manager or person with power of management of derivatives
, reserving or terminating a client’s rights over assets , without or not complying with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not
with an order or consent given by the client or a person authorized by the client. Clause 10 A securities company shall not use clients’ assets for the benefit of another client, other persons, or itself
details of the outsourcing clearly in the details of the mutual fund project, or obtain a written consent from a client who is a private fund or a provident fund, as the case may be; (2) arrange a report on
of the applicant - 5) Certification and Letter of Consent of the audit firm (Form 61-2F) via SEC Office website Original: 1 copy - (Unofficial Translation) 4 Step Type / Number and Additional Details
three years; (4 ) a profi l e and relevant details of the audit firm; (5 ) a certification and consent letter of the audit firm (Form 61-2); Period of Approval Validity : not
service under this Ministerial Regulation, the competent officer shall, upon the applicant’s consent, enter into the applicant’s place of business or premises or any place necessary for inspecting the