the trading of capital market products by the employees, both for the investment of the employees’ accounts or the accounts for which the employees are authorized to make an investment; (2) being able
information systems in accordance with the following criteria: (1) there shall be a user management in place to limit access for authorized users only, as follows: (a) a formal user registration process to
accordance with the following criteria: (1) there shall be a user management in place to limit access for authorized users only, as follows: (a) a formal user registration process to enable assignment of
)……….................…the applicant / (………………………) authorized person For and on behalf of ....................................... (in case of juristic person) Date………………… List of supporting documents. (1
client, by arrange to have documents which can identify its client or the authorized officer of client in case of juristic person. The provision in the first paragraph shall apply to the counter trader
16/1.16 17 A securities company shall get to know its client, by arrange to have documents which can identify its client or the authorized officer of client in case of juristic person. 16 Amended by
its client, by arrange to have documents which can identify its client or the authorized officer of client in case of juristic person. 16 Amended by Notification of the Securities and Exchange
identity of the client or the beneficial owner and controlling person of the company; (3) a foreign collective investment scheme (CIS) which is not registered with or authorized by its official regulator; (4