found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office. Such report shall contain at least the following particulars: (1
increased more than five per cent of the current rental and service fee. In case SAP wishes to renew the sub-lease agreement with PAM, SAP will further arrange to perform necessary actions to be incompliance
measure on relevant conflicts of interest; (4) the selection of service provider shall be considered prudentially as a professional. Clause 16 3 An intermediary shall arrange to have a written contract
preventive measure on relevant conflicts of interest; (4) the selection of service provider shall be considered prudentially as a professional. Clause 163 An intermediary shall arrange to have a written
Sale of Units of Foreign Collective Investment Scheme. Clause 7 Prior to accepting to be a selling agent of units of foreign collective investment scheme, a securities company shall arrange to have a
, the SEC proposes the following supplementary principles to enhance investor protection: 1) AMCs intending to establish crypto ETFs must demonstrate readiness in terms of personnel, operational systems
providing investment advisory service, the investment advisory company shall at least undertake to act as follows; provided that if it intends to arrange a mutual fund rating, it shall also comply with Clause
deems appropriate, a management company shall arrange for the SEC Office to inspect the operation and evidentiary documentation relating to doing duties of the representative as designated by the
transition is permitted by Clause 10 of the Notification thereinafter which management company shall arrange the appointed juristic person to comply with the rules under these sub clauses as soon as possible