Regulatory Alerts2010-06-01
Added · Updated
Guidance on Rule 7.8: Formation of a Subsidiary or Branch
The Commission issued this guidance to specify the supporting information licensees must provide when forming a subsidiary or branch. The document details requirements across corporate governance, financial planning, AML-CFT compliance, outsourcing, and overseas regulation. It distinguishes between obligations for subsidiaries and branches, noting that certain items such as structure charts and projected financials apply only to subsidiaries.
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