Trading Services with respect to Derivatives __________________ Clause 26 To ensure that steps or procedures concerning computer systems relating to trading services with respect to derivatives are
documentation: (1) letter of certification and consent of the audit firm to which the applicant is attached, which certifies and gives consent in the following matters as per Form 61-2, which is available on the
evidence: (1) certification letter and consent letter of the audit firm to which the applicant is attached which certifies and gives consent in the following matters, as per Form 61-2 which is available on
In cases where the SEC Office considers that it is necessary and expedient, with the applicant’s consent, the competent officer shall be empowered to enter into the place of business or address of such
private fund for which it is responsible, upon the consent of the person so authorizing and approval of the Office, in accordance with the rules, conditions and procedures specified in the notification of
apply for approval for the mutual fund management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification
management scheme in compliance with the steps and procedures within the specified period and has attached all supporting documents as specified in the notification of the Office. In the consideration and
guidelines for the custody of the client’s assets in accordance with the provisions of this notification. Such rules and guidelines must be made in writing, elaborating procedural steps of authorized person
derivatives trading account shall be prepared in written with steps and procedures sufficient to ensure that the customer is the same person as the one appearing in the documents and evidence used for opening