intent made in writing that he or she does not wish an intermediary to implement methods and procedures complying with the details in this Chapter; (3) investor or client who uses services related to
country that is a collective investment scheme, whether in the form of a company, trust, or any other form; (2) a fund established under the laws of a foreign country of which the main objective is to make
____________________ Clause 11 In providing derivatives clearing and settlement services, a derivatives clearing house shall implement a system that ensures that the obligation under the derivatives contract shall be
house or central securities depository may implement a plan for recovery or an orderly wind- down; (2) important tasks concerning clearing, settlement, and deposit of securities in a manner that enables
maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial statement with auditor’s opinion for this fiscal year
application, if it appears that the applicant can not maintain the capital adequacy or capital reserve, the applicant shall notify the Office in writing immediately of such matters; □ (2) Audited financial
industrial sectors across the country and around the world. The company is also affected, as can be seen from the revenue generated this year, some customers who were affected by such situation used less
exchanges in a foreign country which is a member of the International Organization of Securities Commissions (IOSCO). Clause 4 For the purpose of regulating securities brokerage business undertaken by a