underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business
internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work
information, caution, restriction, prohibition or risk in relation to the services; (7) arranging for the acknowledgement and acceptance of the client about conditions or limitation of providing services as
; (6) having any information, caution, restriction, prohibition or risk in relation to the services; (7) arranging for the acknowledgement and acceptance of the client about conditions or limitation of
derivatives position remaining until the settlement date. 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The derivatives broker may be unable to
repealed. Clause 2 In this Notification: “ regulatory sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to
sandbox ” means a framework for experimenting and developing an innovation in a controlled environment to support provision of services related to capital market. “ approved person ” means a person who is
at least. [M] · Providing consistently an inspection of operational recording of user . [A] · Providing a preventing measure for alteration of other record and limitation of right for only concerned
enable assignment of assess rights; (b) the allocation and use of privileged access rights should be restricted and controlled; (c) the allocation of passwords should be controlled through a formal
shall be made with right of recourse and without any waiver or limitation of liability of the endorser, or the guarantee shall be given unconditionally for the whole amount of principal and interest, as