sign an initial of signature on each and every page of the documents and the amendments thereto. Accordingly, any document without the initial of signature of…………………………, shall not be regarded as the
following events occur, the Office’s approval for the establishment and management of the mutual fund shall cease accordingly, unless there is an appropriate reason and a waiver is granted by the Office: (1
units of any scheme, should any of the following events occur, the Office’s approval for the establishment and management of the mutual fund shall cease accordingly, unless there is an appropriate reason
according to paragraph one for such Derivatives broker. However, the SEC Office may set out other requirements for such Derivatives broker to follow accordingly. Clause 9. Derivatives broker shall arrange to
such Derivatives broker to follow accordingly. Clause 9. 8 Derivatives broker shall arrange to have personnel with knowledge, capability or experience that can be of use in the undertaking of derivatives
such Derivatives broker to follow accordingly. Clause 9.8 Derivatives broker shall arrange to have personnel with knowledge, capability or experience that can be of use in the undertaking of derivatives
is material change in the records, the securities company shall repeat the process mentioned in Clause 9(1) and (2) as deemed necessary and shall re-classify the client’s risk accordingly (re
shall re-classify the client’s risk accordingly (re-classification of client). Clause 18. Securities company must perform KYC/CDD process on all existing customers within three years from the date this
necessary and shall re-classify the client’s risk accordingly (re-classification of client). Clause 18. Securities company must perform KYC/CDD process on all existing customers within three years from the