the list of SEC, will be auditor for both NDR and FKRMM. 4. An internal control is in place as required by the announcement of Capital Market Advisory Board. NDR has already set up an internal control
Limited, which is in the list of SEC, will be auditor for both NDR and FKRMM. 4. An internal control is in place as required by the announcement of Capital Market Advisory Board. NDR has already set up an
Services of Outbound Products Clause 10 In providing services to clients regarding investment in an outbound product , the intermediary shall put in place a procedure to ensure that the outbound product has
Services of Outbound Products Clause 10 In providing services to clients regarding investment in an outbound product, the intermediary shall put in place a procedure to ensure that the outbound product has
an outbound product, the intermediary shall put in place a procedure to ensure that the outbound product has the following characteristics: 3 Repealed by the Notification of the Capital Market
client complains about the custodian practices. Chapter 2 Internal Control System to Prevent the Misuse of Client’s Assets Custodian shall put in place at least the following operation procedures and
Misuse of Client’s Assets Custodian shall put in place at least the following operation procedures and practices which can prevent the misuse of client’s assets: 1. Operation manual on the payment made
. Clause 4 In undertaking custody of assets of clients , a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under