a derivatives business operator in the category of derivatives broker or derivatives dealer; (2) “SEC Office” means the Office of the Securities and Exchange Commission. Clause 2 . An applicant for

operator in the category of derivatives broker or derivatives dealer; (2) “SEC Office” means the Office of the Securities and Exchange Commission. Clause 2. An applicant for the registration as a derivatives

financial institution business.1 Clause 2 In case a director or an executive of a trustee or an applicant for performing trust business is prohibited from holding a position of the director or the executive

-10) and to institutional investors (II) only. In addition, the applicant must seek an approval from the Office of Insurance Commission (OIC) before filing an application for approval of such bond

regulatory association. The main focuses of the proposed regulations are as follows:        (1) Application for approval and granting of approval for the association: An applicant shall be granted an approval

prescribed additional qualifications of principle valuers for transactions in capital market. The applicant intending to seek the SEC?s approval must pass the examination of Scholastic Management Aptitude

offered at the market price during the offering period. The revised provisions cover the key areas, as follows: 1) Approval: to screen the applicant?s corporate governance records whether or not

outstanding shares of an applicant for derivatives clearing house license; (b) a juristic person who holds no less than fifty percent of the total outstanding shares of the juristic person under (a). Chapter 1

the submission of such information or evidentiary documentation. Clause 4 An applicant for an offer for sale of units of ASEAN Collective Investment Scheme to institutional investors, ultra-high net

authorised Directors or Executives of the issuer who issues underlying shares; (5) having such other shareholding or management structure which demonstrates that the applicant has the power to control the