services and various types of investment risks. Periodic educational programs and activities ran via traditional and online media channels such as radio, television and prints. The SEC is in the process of
operating securities business | - |- Registration |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders | - |- Approval
securities business | - |- Registration |- Paid up Capital |- Fees |- Net Liquid Capital Rule (Section 49) |- Executives / Personnel | - |- Approval & Qualifications (Section 24) |- Major Shareholders
/ 18-2 Application for Establishment of Branch Office or Conversion of Online Branch Office to Full Branch Office Securities company / derivatives intermediary Name of Company
| - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records Requirements | - |- Risk Control | - |- Online Submission | - |- Compliance / Internal Control | - |- Conflict of
& Records Requirements | - |- Risk Control | - |- Compliance / Internal Control | - |- Conflict of Interest | - |- Online Submission |- Protection of Customer Assets (Section 98(3)) |- Reporting of Securities
Printable Format - Laws and Regulations Business Operation Rules |- Net Liquid Capital Rule (Section 97) |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Major
Online Submission CA - Download Forms / Manuals Search for laws and regulations Search for laws and regulations Issued date (day/month/year) since to Notification number Document status All On
Online Submission CA - Download Forms / Manuals Search for laws and regulations Search for laws and regulations Issued date (day/month/year) since to Notification number Document status All On
Online Submission CA - Download Forms / Manuals Search for laws and regulations Search for laws and regulations Issued date (day/month/year) since to Notification number Document status All On