customers’ assets in its possession to have at least 2 audit responsible for recipience notified from the auditor that may report doubtful behavior which directors or managers have committed an offense as
derivatives broker shall provide evidence relating to derivatives trading as follows: (1) evidence relating to the taking and execution of customer’s derivatives trading order containing at least the details of
supplementary documents for registration as prescribed by the law governing such category of asset. Clause 3. The securities registrar shall have a service contract with clients available in at least two copies
position called otherwise shall: 1. possess a bachelor’s degree or higher or an equivalent degree certified by the Office of the Civil Service Commission with at least three-year work experience; or 2
each derivatives contract immediately upon execution of trading orders, and the guarantee obligation shall end after the derivatives clearing house becomes bound or replace itself as a counterparty. The
taken into consideration. Said regulations shall include at least the following matters: (1) policies on prevention and handling of conflicts of interest; (2) adequate measures to prevent directors
investors**. The investment portion of the distressed bond fund would consist of distressed bonds accounting for at least 60 percent of the total net asset value (NAV), while the rest may invest in other