on the approval for the offer for sale of debt securities in a public offering (PO) or the offer for sale of certain types of debt securities would require credit rating to be arranged by an approved
finance business under Clause 1 means undertaking of business with core objective to provide credit facility for securities business. Clause 3 This Notification shall come into force on the date
: (1) Notify the unitholder registrar to acknowledge the limitations on unitholding and monitor the unitholder registrar to reject a transfer of investment units that will violate the rule. (2) Examine
company must arrange to have a monitoring process for the allocation to comply with the decision of the board of directors. For instance, an internal auditor may be assigned to monitor the allocation, etc
, finance company, securities company (broker/dealer/TSFC) or a foreign financial institution with credit ratings in the first four categories by an approved credit rating agency. (4.2) Exchange traded funds
, securities business operator, derivatives business operator, financial advisor, auditor, appraisal company, credit rating agency, representative of bond holders, and personnel in the capital market business
with a client that is a provident fund or the Government Pension Fund; (5) In the case of a margin loan, a loan limit and conditions of such credit shall be specified, and there shall be a statement