Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following standards: (1) conducts its business and provides services for a client
) dated 9 February 2017 (effective on 16 February 2017). 5 Chapter 2 Conduct of Business as a Professional _____________________________ Clause 7 An intermediary shall at least comply with the following
and time limits for paying up securities; where payment is partial, the manner and dates on which amounts due are to be paid. 3. Where applicable, methods of and time limits for — (a) the delivery of
accordance with the procedures as prescribed in the Notification of the SEC Office8 together with at least the following evidentiary documentations: (1) draft trust instrument in case of such offer for sale
approved by the SEC office on conditions, rules and procedures specified by the Office; (6) a juristic person other than those persons under sub clauses (1), (2), (3),(4) or (5) which has at least 5-year
2017 (effective on 1 September 2017). 6 (6) a juristic person other than those persons under sub clauses (1), (2), (3),(4) or (5) which has at least 5-year experience in the field of function to be
business operators default on cash settlement or physical delivery with the derivatives clearing house or their clients in case of derivatives business operators, unless such default is not caused by
2003. (Translation) -3- Clause 2.3 In providing investment advisory service, the investment advisory company shall at least undertake to act as follows; provided that if it intends to arrange a mutual