the following matters: (1) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime
) sufficient financial resources for the conduct of and risks associated with its operations; (2) safety of its clients’ assets; (3) security measures against electronic crime, which are capable of protecting
operation of securities exchange including rules relating to financial resources, systems, supervision of members, listed securities, corporate governance, prevention of conflicts of interest, dispute
7/1. A fund shall consist of the following assets: (1) savings and contribution; (2) provident funds pursuant to the second paragraph of Section 6; (3) surcharges pursuant to the third paragraph of
units; (10) any other instruments as specified by the SEC. "bill" means any bill issued for raising funds from the public as specified in the notification of the SEC. "debenture" means any debt instrument
management of funds of a person or group of persons who has authorized the management of investment to acquire benefit from securities, whether or not investment in other assets is also made, which management
Securities Exchange shall undertake at least the following matters: (1) sufficient financial resources and systems for the performance of its operation and for the assumption of any risks associated with the
shall come into force on the date following the date of its publication in the Government Gazette. Section 3. In this Royal Enactment, “securitisation” means a receipt of transfer of assets and an
of business, engages in the business of managing funds for others, or holds himself out to the general public as being ready to manage funds for others, with the intention of investing in derivatives
of business, engages in the business of managing funds for others, or holds himself out to the general public as being ready to manage funds for others, with the intention of investing in derivatives