companies means investments in subsidiary and associated companies holding by the company and subject to the accounting standard which records such investment by the Equity Method. In case of any holding of

capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included

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

under the method of margins calculation prescribed by the derivatives exchange. Clause 4. In acting as a derivative agent in a derivatives exchange, the derivatives agent shall: (1) call for its clients

to be in the enterprise’s acceptable range (risk appetite); (4) establishment of IT risk indicators for risks identified under (1) and arrangement of monitoring and reports of such indicators for

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

the excel-file-via-email method. Intermediaries may submit the daily status report by filling in the online form available on the SEC website or by preparing a text file according to the Enclosures 1

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

of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for