provider should not be allowed to access and disclose the intermediary’s information without consent, unless the intermediary is informed and gives a consent to do so, or such access and disclosure are made
Investment Fund which has capital commitments from the external investors who are limited partners (98.36 percent) and SSG GP (1.64 percent). SSG GP is the general partner who has operational control over SSG
partners (98.36 percent) and SSG GP (1.64 percent). SSG GP is the general partner who has operational control over SSG III whereas the limited partners are essentially financial investors in SSG III who have
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
registration statement shall indicate that the statement or report, in the form and context in which it is included, has been included with the consent of that person, who has authorized the contents of that
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities