including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic
Companies dated 29 June 2006. Clause 2 In the Notification: “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ securities company reporting
licensed derivatives business operator in the category of derivatives brokerage; “ electronic data ” means data that are created, sent, received, stored or processed through electronic procedures; “ business
established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through
calculation as specified in Clause 3. (2) “electronic data” means statements that are created, sent, received, stored or processed through electronic procedures. (3) “securities company reporting system” means
providing service to a client, a derivatives broker shall proceed as follows: (1) determine the aggregate position limits for a client including the margin rate or value, based on fluctuation of derivatives
persons of the transactions when the accounts are opened or when the first transaction is processed in case where there is no account-opening (initial KYC/CDD) and on an on-going basis throughout the course
mark or be done by other methods to highlight such statement for the client to acknowledge the followings: (1) the risk caused by fluctuation of value of securities or collateral which may lead the
service. 2. In case of teleworking, the intermediary should establish prudent and sufficient security measures for the information that is accessed, processed, and stored in the operating areas under Clause
securities company (No. 2) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities