the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
downturn and normally performs ahead of the general GDP trend. As uncertainties lie ahead, the management focuses on mobilizing operational responses to protect revenue while managing cost to ensure
liabilities; 1. subordinated liabilities being unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the
unsecured which has the remaining the maturity period more than 1 year as from the calculating date, and has not determined the condition to repay before the maturity date within 1 year, unless such condition
Exchange Commission No. Sor Jor. 40/2558 Re: Granting of Approval of Financial Advisors and Their Scope of Work (No. 2) dated 10 July 2015 (effective on 20 July 2015). 5 (3) having the operational rules and
intermediary ’s branch office; (3) controlling, supervising and managing business units relating to operational function, compliance function, internal audit or risk management; (4) managing investment in
otherwise entitled. Clause 3 Intermediaries shall identify its critical functions, assess their risks of major operational disruptions, conduct business impact analysis and assess potential damages arising
Limited can be found in Enclosure 1. After the condition precedents specified in the Business and Trademark Purchase Agreement between the Company, NMG, and KMM, including the other relevant agreements are