obtain licenses to undertake all types of securities business but not including financial institutions established by any other law which have obtained securities business licenses. Clause 4 A securities
registered to be derivatives intermediaries; (6) a financial institution whose core business is under direct supervision of another regulatory agency and later obtained license to undertake securities business
the amount calculated in proportion to the remaining days of the calendar year where the license is obtained. Any association related to securities business which fails to pay the correct fee in full
records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records previously obtained. In this regard, the
ensure that the client’s records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records previously obtained
review process to ensure that the client’s records previously obtained remain accurate, complete, and up-to-date in accordance with the following provisions:- (1) periodically review the client’s records