application. Clause 21 In the case where the licensee, being required to maintain its status of legal entity in a conglomerate pursuant to Clause 13(5), is to change its shareholding structure to the extent
remain in force, to the extent that those notifications do not contravene the provisions of this Ministerial Regulation, until the notifications governing the similar matters are promulgated under this
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
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
Notification shall remain in full force to the extent that they are not inconsistent with nor contrary to the provisions of this Notification, until orders and circulars issued under or prescribing guidelines