of operational function other than sub clause (1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker
system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into
to prevent conflict of interest; (2) risk management system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business
repealed by this Notification and had been in effect before the effective date of this Notification shall remain in force to the extent that they are not in contrary to or inconsistent with the provisions
dated 11 July 2003 which are in effect prior to the effective date of this Notification shall remain in full force to the extent that they are not inconsistent with nor contrary to the provisions of this
this Notification shall remain in full force to the extent that they are not inconsistent with nor contrary to the provisions of this Notification until notifications, orders and circular letters issued
Derivatives Business dated 3 August 2009 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are not inconsistent with nor contrary to
Re: Custody of Clients’ Assets by Securities Companies dated 4 January 2000 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they