comprehensively study the contract specification, i.e. category or type of underlying assets or variables, contract size/unit/multiplier, minimum price movement, daily price limit, last trading day, settlement day
preceding year, industrial and competition outlook with regard to, for example, an approximate number of competitors, the Company's size compared with that of the competitors, competitiveness and potential
benefit of the clients , in which case the clearing and settlement of the assets shall be made to the said person. (3) returning the remaining client’s assets to the client or transferring them to another
competition during the past year, industrial and competition outlook with regard to, for example, an approximate number of competitors, the Company's size compared to the competitors, competitiveness and
regularly to discuss the firm’s goals to quality and document their discussions? 5 Does the firm have documented policies and procedures appropriate to the size and nature of the firm? 6 Does the firm’s
ratio, the markets or the groups of export markets for such products or services; (b) Describe the industry competition, an approximate number of competitors, the Company's size compared to that of the
December 2015 with a remaining valid term; (b) derivatives under (a) are not renewed after 16 December 2015. Clause 3 This Notification shall come into force from 6 January 2004. Notified this 23rd day of
paragraph is ineligible to do auditing and put his or her signature in the opinion on the financial statement of a securities company throughout the remaining period approved under the Notification governing
. subordinated liabilities being unsecured which have the remaining maturity period of more than one year as from the calculating date, and have not determined the condition to repay before the maturity date
liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the