well as post-sales processes, by requiring intermediaries to improve effectiveness of internal communication with their salespersons and laying down effective monitoring system to ensure service quality
guideline for selecting a suitable asset management companies and monitoring fund performance; 5) To provide a fact sheet for fund members to choose an investment plan; and 6) To provide information on
customer due diligence (CDD) to ensure a more comprehensive assessment aligned with customers’ income and occupation profiles, alongside ongoing monitoring of investment behavior. Where red flags are
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SEC Search Search From : Home > Search > Search Results search: Sitemap Any Sitemap About SEC ( 2 ) Toward International Excellence ( 2 ) Documents aspx ( 2 ) http://172.19.1.196:8983/solr/secweb