transfers of assets in large amount from or to accounts of third parties, who are not ultimate beneficial owners or ultimate controlling persons; (11) the client refuses to show the true identity, does not
aside reserve capital in compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4) being able to show that person who is or will be director
document; (4) in cases where the results of a suitability test under Clause 30 show that the risky or complex capital market products under Clause 34 may not be suitable for a client and the client insists
establishment] with the SEC Office; [or] (2) an association relating to supervision of derivatives intermediaries, of which objectives is for promoting and supervising derivatives intermediaries, having obtained
December 2015. Clause 2 In this Notification: “ agricultural derivatives business license ” means the license for undertaking derivatives business related to agricultural goods or variables related to
, internal audit or risk management; (4) being able to show that no major shareholder has any prohibited characteristic as specified in Paragraph 2 of Section 25 and the Notification of the Capital Market
of non-forested land – conservation of non-commercially productive land to maintain the existing habitat in both area and quality. Activities could include the establishment of protected land or
other persons in a manner which is similar to or which is in competition with the operation of the management company except where the management company can show that its organizational structure does