service provider is required; (2) a complete and updated summary report of the operational function outsourced to the service provider shall be prepared and submitted to the chief executive officer of the
chief executive of the intermediary ; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall be maintained in such a ready manner for
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
directors and chief executives: specify whether or not the selection of persons to be a director and chief executive is through a nominating committee, the number of directors representing each group of major
Securities Institute and other training institutes accepted by the Office; “Executive” means any director, manager and executive director including deputy manager, assistant manager, department director and
the exchange of information [bilateral MOU] of which essences are the same as MMOU, including has legal power to provide assistance to the SEC Office as stated in the memorandum of understanding; (3
Executives of Securities Companies (No.2) dated 23 November 2000. Clause 2. In this Notification: (1) “Securities company” means any company licensed to undertake securities business; (2) “Executive” means
meeting attendance fee and director reward, the amounts of which vary according to the Company's operating results). In cases where any director also receives remuneration as an executive under (b), make a
providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives
of the Office, the determination of salary and other remuneration as well as welfare and assistance; (5) any other activities to be implemented according to the objectives of this Act. All rules