upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of
and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to
: ___________________________________________________________ Tel No.: _____________________________ Fax No.: _________________________ (please use an enclosure if there is more than one market maker) Part D: Participating Dealer (PD) of Foreign ETF in
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
transactions, indicating names, positions, academic records, working experiences and training courses in the related programmes (if any) such as CISA, CFA etc.; (d) as regard the credit risk management, there
overall capital market because there are few service providers or a replacement of another service provider cannot be arranged immediately; “ affiliated company ” means a company having any of the following
enter into the arbitral process organized by the Office. Chapter I V Appointment and Challenge of Arbitrator ________________________ Clause 14. In the arbitral proceeding, there shall be one arbitrator
documents and evidence in full from the securities company, except in the case where there is a necessity to conduct further inspection of any facts and the Office has informed the securities company of such
the operational procedure under (1); (3) in the case where a proprietary trading occurs during any of the following periods, the intermediary shall be able to demonstrate evidence proving that there is