to the resolution of the shareholders? meeting (whitewash) to be in line with the principles of other related regulations as well as to solve practical issues and provide sufficient information for
decision, for example, maturity date, type of fund, investment policy, risk factors and performance. For advertisement on group of mutual funds where it is not practical to provide all significant
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
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
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
documents and evidences in accordance with the format and procedures provided by the Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and