in Securities Business. 1.2 Order collecting process. 1.3 Rectification and amendment of orders recorded in error, for instance timeframe, procedures and the person so assigned. 1.4 Verification of

register the amendment to the fund’s articles within fifteen days after the date of passing of the resolution of such amendment and the amendment shall not take effect until the Registrar has effected the

numerical assessment results, if possible), tendency or probability of occurrence. Supplementary information on specific measures already put in place and substantial alleviation of risk impacts may also be

investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display numerical assessment results, if possible), tendency or probability of

2007 Repealed for amendment by the Notification of the Securities and Exchange Commission, No. Kor Khor. 29/2548 Re: Rules, Conditions and Procedures for Appointment of Representatives for Sale or

regulatory action (paragraph number......) ( 5.3 A major catastrophe that has had, or continues to have, a significant effect on the entity’s financial position (paragraph number........) ( 5.4 Amendment of

2018 in the relevant matters: (1) the regulator of the foreign service provider is located in a country that has participated in the Financial Sector Assessment Program (FSAP) and received the assessment

/Nor/Yor/Khor. 28/2547, Re: Determination of Fees for the Operation of Licensed Businesses (No. 2), dated 27 May 2004. Repealed for amendment by the Notification of the Securities and Exchange

Re: Risk Management to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism Reference is made to the Anti­Money Laundering Office (AMLO)’s amendment to the Anti-Money

amendment of its scheme to be in compliance with the provisions of this Notification. Such amendment shall be completed within one year from the effective date of this Notification. Should the management