. SEC.Khor.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the
.(Wor) 26/2550 Re: Clarification on Guidelines for the Renewal of Approval for Investor Contact Reference is made to the Office’s guidelines for the renewal of approval for investor contact (the “Contacts
Trust Information technology Approved Personnel and -------------------------- Sub-topic ------------------------- Securities Issuance Takeover Approval Mutual Fund Private Fund Provident Fund Venture
. 2546 (2003). “association” means: (1) an association relating to a securities business, of which objectives is for promoting and developing securities business, having obtained an approval to establish
requesting for approval from senior management to open such accounts or establishing new business relationships. Clause 13. Securities company may rely on another financial institution to conduct face-to-face
company must, in case of cross-border omnibus accounts, assess the adequacy and effectiveness of the financial institutions’ KYC/CDD measures and controls prior to requesting for approval from senior
controls prior to requesting for approval from senior management to open such accounts or establishing new business relationships. (Unofficial Translation) - 5 - Clause 13. Securities company may rely on
. Notification of the Office of the Securities and Exchange Commission No. Sor Shor. 39/2553 Re: Approval of Auditors in the Capital Market _________________________ Whereas Section 61, Section 89, Section 106