number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of

stipulated in the first paragraph so as to enable an inspection by the Office. Affiliated transaction of the fund under the first paragraph shall not include the transaction in which any related person

initiating after the market closing time shall be deemed as it is initiating in the next business day. Clause 3 A derivatives broker shall at least include the following information in the confirmation

as specified in Clause 4, provided that those companies must instead include the income derived from the business as per Clause 4 in the calculation for payment of fees at the rates as specified in

holds shares more ten percent of the outstanding shares. No. Name Number of shares (thousand unit) Percentage of the outstanding shares (%) 1 2 3 4 Part 3: Purpose of submitting an application □ 3.1 For

prescribing a policy for prevention and management of conflicts of interest in accordance with Clause 17 of the Notification on Standard Conduct of Business , an intermediary shall include therein excessive

held by a fund at an amount more than seventy five percent of its outstanding shares and representing more than seventy five percent of its total voting rights; (f)7 the debt instruments issued by the

, the debt instruments must be traded every two weeks on average and having the average turnover rate of the most recent three months not lower than 6.25 percent of the outstanding. (4) foreign debt

securities company which prevents conflicts of interest or unfairness to clients under Clause 12(8)(d) of the Notification on Standard Conduct of Business shall include the following proceedings: (1

rights of the company being held; The holding of shares by an individual under the first paragraph shall include shares held by a spouse and a minor child of such individual; (c) a company in which such