Services of Outbound Products Clause 10 In providing services to clients regarding investment in an outbound product , the intermediary shall put in place a procedure to ensure that the outbound product has
an outbound product, the intermediary shall put in place a procedure to ensure that the outbound product has the following characteristics: 3 Repealed by the Notification of the Capital Market
filed within 7th January of the following year. Clause 11 The intermediary shall cause documents relating to the maintenance of capital to be kept at its place of busienss in a manner that they are
year. Clause 11 The intermediary shall cause documents relating to the maintenance of capital to be kept at its place of busienss in a manner that they are available for viewing or submission to the SEC
client complains about the custodian practices. Chapter 2 Internal Control System to Prevent the Misuse of Client’s Assets Custodian shall put in place at least the following operation procedures and
Misuse of Client’s Assets Custodian shall put in place at least the following operation procedures and practices which can prevent the misuse of client’s assets: 1. Operation manual on the payment made
. Clause 4 In undertaking custody of assets of clients , a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under
custody of assets of clients, a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under its custody are secured