on the effectiveness of clients’ KYC/CDD measures and controls in case of omnibus accounts, or closely monitoring of clients’ transactions. Clause 16. Notwithstanding the provisions in Clause 15
provisions in Clause 15, securities company may apply a reduced KYC/CDD process should the client have the following quality (reduced KYC/CDD):- (1) information on the client’s true identity, including his
. Notwithstanding the provisions in Clause 15, securities company may apply a reduced KYC/CDD process should the client have the following quality (reduced KYC/CDD):- (1) information on the client’s true identity
investors and other users of credit ratings assess credit risks. Maintaining the independence of CRAs vis- à-vis the entities and obligations they rate is vital to achieving this goal. Provisions of the IOSCO
profit or sharing income among themselves, securities business, only by virtue of the provisions of this Act.
Notification shall come into force as from 1 July 2017. Chapter 1 General Provisions Part 1 Objectives of the Supervision of Derivatives Clearing Houses Clause 2 A derivatives clearing and settlement system is a
The SDG Guidebook for Listed Companies is designed to act as a practical guideline for businesses to integrate the Sustainable Development Goals (SDGs) into their business operations and strategies
Intermediaries 21/10/2016 01/01/2018 Notification of the Office of the Securities and Exchange Commission NorPor. 4/2559 Practical Guidelines for Business Continuity Management 21/10/2016 Contact The