SEC has plans to review the criteria relating to the report form of the securities and derivative business operators to accommodate the change in financial reporting standards - financial instrument that will be effective from 1 January 2020. The report form will be revised to be in line with the financial statement form which has recently been revised. In addition, SEC considers it reasonable to increase the flexibility in submitting the report to be in line with the operation procedu...
Providing Compliance Unit of an Intermediary
services relating to capital market products . Division 1 Compilation and assessment of client information _____________________________ Clause 30 An intermediary shall compile and assess a client ’s
Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
Business, an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
Clause 30 of the Notification on Standard Conduct of Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Notification on Standard Conduct of Business, an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with