offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
offense relating to property committed with dishonest intent; (3) Having been an executive of a financial institution whose license is revoked, unless an exemption has been granted by the Office; (4) Having
of whether the sentence has been suspended and have been discharged for a period of less than three years after being sentenced in the offences of fraudulent or dishonest management relating to
undertaking of the business, the law on anti-money laundering or other law relating to financial business relating to unfair securities trading or fraudulent or dishonest practice, regardless of whether such
disclosed in a range deemed appropriate, as well as, the order of priority of such purposes. If the anticipated proceeds will not be sufficient to fund all the proposes, the amount and sources of other funds
4. Other objectives, e.g., capital for business cashflow Remarks : 1. Disclose the spending estimate classified by objectives, which may be done in the form of appropriate spending range, in the order
, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business
range of damages in the worst case scenario; (5) dispute resolution channel between clients and the derivatives dealer relating to the derivatives transaction. 9The provisions under Paragraph 1 shall not
so that it is more flexible for securities companies to prepare their training courses which best suit the needs of their personnel and that a wider range of activities will be available for the
dishonest business practice, or the law on anti-money laundering, regardless of whether such laws are domestic legislations or foreign legislations. It also shall have no record indicating frauds, dishonesty