. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
, clarify the results of the implementation of such plan as well; - In case of issuance of debt securities with an obligation to maintain financial ratios, clarify whether or not such obligation has been
categories of bills of exchange, promisory notes, bonds and debentures but excluding structured notes and debenture imposing obligation on debenture holder. In case the remaining time to maturity of the debt
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
nor shall they certify the accuracy and completeness of the information contained in the Registration Statement. The liability for certification of the accuracy and completeness of the information
the trading transactions of securities brokerage licensees who are not members of the Stock Exchange; (b) the trading value of debt securities. (2) the license fee for non-members of the Stock Exchange
comply with such rules. In case those persons have breached the obligation under the first paragraph which cause the intermediary to breach or fail to comply with the rules under this Notification, the
the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and
the Public (No.2) dated 7 September 1992. Clause 2 In this Notification and the forms attached to this Notifications: (1) (a) in case of reporting the results of selling securities which is not debt