: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that foreign ETF is legally
: _____________________________________________________________ Home Exchange: ____________________________________________________________ [ ] 1. Form 69 – CIS full (completed by CIS Operator) [ ] 2. Evidence demonstrating that foreign ETF is legally
been filed under Paragraph 1 above. (3) document demonstrating that the collective investment scheme is established legally under the law of the jurisdiction of the home regulator; (4) a letter
the auditing of the businesses under Clause 3 for a period of not more than three months as from the expiry date of approval under Clause 12: (1) having been legitimately appointed by the businesses
: _____________________________________________________ Home Jurisdiction: ________________________________________________________ [ ] 1. Form 69 – CIS full (completed by CIS Operator) [ ] 2. Evidence demonstrating that NRI CIS is legally established
its trading and settlement system in the derivatives market or any written and legally enforceable commitment by its parent company to provide financial support to the derivatives clearing house to be
Jurisdiction: ________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by CIS Operator ) [ ] 2. Evidence demonstrating that NRI CIS is legally established under the law of
oversea representative office of the intermediary, which have been established lawfully before this Notification comes into force, they are deemed to be branch offices granted an approval by the SEC Office
Provision __________ Clause 23 Any branch offices and oversea representative office of the intermediary, which have been established lawfully before this Notification comes into force, they are deemed to be