Office’s website, together with evidentiary documentation to the SEC Office. Clause 9 For the deliberation of the application for obtaining an approval of establishing oversea branch office as prescribed in
, any transaction between each investment policy shall be deemed a transaction with a connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9
the purpose of establishing the REIT, or an amended contract for appointment of the REIT manager, if any, in case of issuing additional new units; (3) a registration statement, or documentation
by submitting the Financial Advisor Application Form FA-1 together with the evidentiary documentation as specified thereunder in accordance with the guideline in the electronic work system of the SEC
an approval of the offer for sale of newly issued sukuk and filing of relevant evidentiary documentation or any report under Chapter 1; (2) qualifications of Shariah advisor under Chapter 2; (3
connected person as well. Division 1 Preparation for Evidentiary Documentation of Transactions ______________ Clause 9 In the case where an intermediary enters into a transaction for a client with the
: (1) arrange to have a computer set where customer can submit a securities’ trading instructions by themselves; (2) accept a securities trading account application and forward the application to head
submit a securities’ trading instructions by themselves; (2) accept a securities trading account application and forward the application to head office or a full-service branch office for approval; (3
following duties: (1) arrange to have a computer set where customer can submit a trading instructions for derivatives contract by themselves; (2) accept a derivatives trading account opening form and forward