shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction
following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
objective restriction in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset
directors are clearly defined. 2.2 The board of directors oversees whether the company goals are clear and measurable to be used as guidelines for executives’ and employees’ operation. 2.3 The board of
characteristics to other existing debt securities, except for their core objective of financing projects that contribute to environmental conservation and/or social development. These products therefore are not
Kuala Lumpur, 22 February 2017 ? Four ASEAN audit regulators and Big-Four audit firms in the region have collectively agreed on a measurable goal to improve audit quality. This initiative was
relevant regulations, as resolved in the SEC Board Meeting No. 5/2024 convened on 4 April 2024. The objective of the proposal is to increase flexibility for ICO filing, allowing issuers to align ICO
loans that ACAP secured from other persons which were at the rates of 4.40% – 8.00% per annum. Furthermore, the lending period was not clear; there is a risk of default on the debt repayment; the use of
, dealing or underwriting of investment units. “Association” means any association relating to securities business, which has been approved by and registered with the Office, whose objective is to promote and
securities business, which has been approved by and registered with the Office, whose objective is to promote and develop securities business in the category of investment management; “Office” means the Office