office to full-service branch office provided that on the date the derivatives broker upgrades its branch, it meets the qualification as specified in Clause 4 and notify the details of the upgrading to the

investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or

report should be submitted to the board of directors, the executive board or any designated committee; (2) improving the operation according to the suggestions or issues detected by the compliance unit or

Contacts to enhance their skills and knowledge. In amending the rules for the renewal of approval, the Office adds more categories of skill enhancing activities to include in-house training courses which

Fundamental of Financial Statements (UFS) [  ] Role of the Compensation Committee (RCC) [  ] Improving the Quality of Financial Reporting (QFR) [  ] DCP Refresher Course [  ] others (please specify) [ specify

system for enhancing and protecting the orderly operating mechanism of the trading system; (f) having a controlling mechanism to ensure that the service user who offers to buy or buy securities in the

related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the

following two business days; (2) improving the capability to maintain collateral and liquid asset adequacy for a period of not less than seven consecutive business days, within thirty days from the date on