individual, and shall be allowed to undertake a derivatives business only after a license from the SEC has been obtained. Any derivatives business operator which is a legal entity under Section 17 and engages
appropriate audit evidence and the possible effects are material, but not pervasive, resulting from: ( 2.2.1 circumstances beyond control of the entity (paragraph.........); ( 2.2.2 circumstances relating to
effects on the financial statements of undetected misstatements, if any, could be material but not pervasive ( 2.2.1 Circumstances beyond the control of the entity (paragraph number........) ( 2.2.2
with each other as parent company or subsidiary , or each legal entity in such group is held by the same legal entity, whether directly or indirectly, in the amount or in aggregation of exceeding fifty
of shareholding structure, whereby all legal entities in such group have relationship with each other as parent company or subsidiary company, or each legal entity in such group is held by the same
.: _________________________ Part E: Independent Oversight Entity of the Passport Fund (Trustee/ Fund Supervisor) Same as Custody No [if “No”, please provide further information below] 23) Name of Independent Oversight Entity
entity(-ies)? Yes No If “Yes”, please specify the function(s) delegated (and sub-delegated): ________________________________________________________________________ 22) Does the delegation (and sub
Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. In this Notification “derivatives broker” means any entity licensed to undertake derivatives business in
banking business and is under the supervision of an entity which has similar supervision to that of the Office; (4) “Securities business operator” means (a) Any company licensed to undertake securities
: ________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Legal form of NRI CIS: Legal entity Unit trust Any other structure acceptable to participating jurisdictions 5) Type