managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession
or home regulator, as the case may be. Clause 7. Prior to selling units of foreign collective investment scheme, securities company shall at least undertake the following steps: (1) examining
) independent compliance unit with acceptable standards and reliable for inspecting the operation of the company; (e) standard and reliable system for data recording and reporting of information to the company’s
for auditing the operation of the company; (d) independent compliance unit with acceptable standards and reliable for inspecting the operation of the company; (e) standard and reliable system for data
that is loss (c) efficient internal audit unit responsible for auditing the operation of the company; (d) independent compliance unit with acceptable standards and reliable for inspecting the operation
projects that were in the process of delivering and inspecting. Therefore, those projects require funding from loans of financial institutions. Trade accounts payable and other Payables increased by 614.3 MB
provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. Clause 10
provide a system for recording, examining and reviewing the clients’ information so as to ensure that such information is correct complete and current throughout the period of derivatives trading. 1 Amended