an offering of retail trust units; (2)3 in case of offering for sale of trust units for high net worth investors, the offeror shall specify information as specified under Section 69(1) to (10) and
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
assessment once a year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice
transaction of securities dealing with a client , a securities company shall specify a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient
employee responsible for the said duties to provide true and accurate information to the client. Clause 18 In considering a transaction of securities dealing with a client, a securities company shall specify
applicant seeking an approval to act as a mutual fund manager possesses any prohibited characteristics under Clause 4(9), (10), (11), (12), (13), (14), (15), (16), (17) or (18), the Office may specify a
an approval to act as a mutual fund manager possesses any prohibited characteristics under Clause 4(9), (10), (11), (12), (13), (14), (15), (16), (17) or (18), the Office may specify a period of time
least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized