e-service Online Submission See canceled document Derivatives Dealer >> Know Your Clients Type Title Section See Document Status Notified Date Effective Date 1. Notification of Capital Market
%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of beneficiaries and clients. Asset owners may wish to ensure that remuneration frameworks do not unduly constrain
%20Institutional%20Investor%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of beneficiaries and clients. Asset owners may wish to ensure that remuneration
%20Investor%20Responsibilities_2013.pdf horizons for individual staff members advance alignment with the interests of beneficiaries and clients. Asset owners may wish to ensure that remuneration frameworks do
for individual staff members advance alignment with the interests of beneficiaries and clients. Asset owners may wish to ensure that remuneration frameworks do not unduly constrain their ability to
investment management system. This includes providing a communication channel that facilitates notifying and clarifying information to clients in case of major changes to service provision.“After continuous
/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013; (2
business cessation; however, to ensure proper proceeding of related matters including notification to the clients regarding asset refunds or asset transfers to other digital asset operators according to the