period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are

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

information which has been registered, the management company shall immediately submit an application for the change and revision of such items in the registration so that the information thereof shall be up-to

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

written by such board of directors. In case of any material amendment, change or modification to such policy and plan, intermediaries shall comply with the requirement set out in the first paragraph (1) or

board to be in charge of the implementation of the business continuity management policy. In case of any material amendment, change or modification to the business continuity plan, the securities company

2007 Repealed for amendment by the Notification of the Securities and Exchange Commission, No. Kor Khor. 29/2548 Re: Rules, Conditions and Procedures for Appointment of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

/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 Repealed for amendment by the Notification of the Securities and Exchange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

client. Clause 13. A securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment