Trading plans without being regarded as carrying out the securities business of private fund management or derivatives fund management, respectively. These rules have been in effect from 16 May 2019
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
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Microsoft Word - MD&A-9M2018-set-e R mh.doc _investment_.doc 1 Ref: CSO. 038/2018 Date: 8th November 2018 Subject: Management Discussion and Analysis Quarter 3 Ending 30th September 2018 Attention
Microsoft Word - MD&A 1H2018-final-FA-E.doc 1 Ref: CSO. 032/2018 Date: 23rd August 2018 Subject: Management discussion and analysis of financial results for the six months ending 30th June 2018
specified under Section 24 and in the Notification of the Capital Market Supervisory Board regarding Rules on Capital Market Business Personnel : (a) work related to management, establishment, control and
characteristics specified under Section 24 and in the Notification of the Capital Market Supervisory Board regarding Rules on Capital Market Business Personnel: (a) work related to management, establishment