Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the
should select a critical business function which it considers that if emergency incidents happen, it will disrupt and significantly affect customers, business operation, financial status or reputation of
the relevant professional code of conduct and standards as specified by the association, in any aspects material to maintaining its status as professional, or in any aspects which would affect the
estimated cost ; - In case of financing acquisition of other business : describe such business and information on the status of the acquisition, as well as, the estimated cost. If the proceeds are used to
be in accordance with the rules specified in the notification of the SEC. Chapter 2 Creation of Trust ______________ Division 1 Trust Instrument _____________ SECTION 11 A trust is created when a
regulations. Clause 1 The SEC Office shall require securities companies to submit reports or document, and determine periods of submission for the following issues. (1) Report of Financial Status and Operating
comprising courses on finance, investment, accounting or economics. 3. Maintenance of status 3.1 Being securities firm executive or mutual fund manager or private fund manager on the renewal application date
, investment status and the approximate spending amount. In case of acquiring assets or investment in a business unrelated to the current one, clarify the reason(s) and the background of such asset acquisition
. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and
, economic and political risk as well as regional risk of the countries in which they have invested. Since the aforesaid risks may affect the financial status of the securities company, it is deemed necessary