manner in the event of disruption of its normal operations, the securities company shall establish a policy on business continuity management that is approved by its board of directors. Clause 4. A
Company or a subsidiary materially but the assessment whereof cannot be quantified in numbers, and (3) any lawsuit that is not caused by normal business undertaking of the Company or a subsidiary
the business undertaking of the Company or a subsidiary materially but the assessment whereof cannot be quantified in numbers, and (3) any lawsuit that is not caused by normal business undertaking of
quantified in numbers, and (3) any lawsuit that is not caused by normal business undertaking of the Company or its subsidiary. Disclosure of any lawsuit that is part of the normal business undertaking is not
notification of the SEC. "debenture" means any debit instrument of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender
Normal Approval Applicant’s personal record and firm’s profile Instruction a. If there is insufficient space for any section of the form, you may photocopy the relevant page(s) and submit as part of
: “ intermediary ” means securities company or derivatives intermediaries but shall not include the following intermediaries: (1) a securities company in the category of investment advisory; (2) a securities company
technology” as “an effect causing the securities company operate business inconsistent namely trading securities system was damaged and unable to operate in the normal condition etc. or an effect causing harm
paragraph, the mutual fund management company shall arrange for the mutual fund supervisor to examine and certify in writing that such transaction is in accordance with normal commercial practice similar to
Notification shall come into force as from 16 March 2007. Clause 2. In this Notification; (1) “securities company” means any company licensed to undertake securities businesses to perform