mutual funds’ assets; (c) Systems for verifying and enumerating mutual funds’ assets to ensure accuracy and totality; (d) Systems for making asset inventories that show the details and the amount of mutual
structures indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be
within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be practicable to employees of the securities company
indicate that it is acting as a business unit within a financial conglomerate as accepted by the Office. The procedures mentioned in the first paragraph should contain all necessary details to be practicable
derivatives business and in accordance with details on the most recent shareholding structure shown to the Office: (a) The licensee being granted a waiver on the derivatives business license fee under Clause 16
; (3) give the name and contact details of the derivatives broker in order for the client to be able to make enquiries on the giving of advice; and (4) comply with the criteria for the translation of
giving advice under the law governing derivatives; (3) give the name and contact details of the derivatives broker in order for the client to be able to make enquiries on the giving of advice; and (4