and sale or exchange of securities in the Securities Exchange and in an over-the-counter centre by a securities company licensed to undertake securities dealing business; (9) relocate its head office or

office, type of business, company license number, telephone number, facsimile number, home page (if any), amount and type of the total sold shares of the Company; (2) Name, head office, type of business

: Type of Business: __________________________ Head Office: __________________________________________________________________ Registration Number: Home Page (if any): ________________________ Telephone

years; 1.1.5 Name and location of the head office, type of business, company registration number, telephone number, facsimile number, the Company’s website (if any), the number and type of the total

aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and

entity established in any other forms as specified in the notification of the SEC. "securities company" means any company, or financial institution licensed to undertake securities business under this Act

the said Act prohibits any securities company from taking purchase orders or sales orders from customers outside its head office or branch office premises, except the Office prescribes otherwise

Applications for Registration to be a Derivatives Business Operator in the Category of Derivatives Broker, Derivatives Dealer and Derivatives advisor. By virtue of Clause 5 of the Notification of the Securities

Permission and Granting of Permission to Establish Service Offices for Investment Management Business dated 17 February 1997 shall be repealed. Clause 2. In this Notification, “Fund” means any mutual fund or

Securities Companies to Establish Branch Offices dated 24 August 2000 shall be repealed. Clause 3. In this Notification, “Securities company” means any company licensed to undertake securities business in the