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
(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 of a securities company under Section 100 of
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repealed by this Notification and had been in effect before the effective date of this Notification shall remain in force to the extent that they are not in contrary to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