. In case of the complaint received by the securities company from a customer and relating to duties executed by its agent, the securities companies shall send such complaint to the agent to find a
business days from the date when it received such advertisement, it shall be deemed that the securities company has been granted an approval from the Office to make such advertisement. Clause 7. For an
advertisement. Clause 10. The advertisement related to ranking or awards received by the securities company or the fund shall comply with the following conditions: (1) The advertisement related to ranking or
complete its consideration on the request under clause 4 within fifteen working days as from the date the Office has notified the management company in writing that the Office has received complete documents
securities company (No. 2) dated 25 May 2004. Clause 2. In this Notification, “electronic data” means the information created, transmitted, received, stored or processed by an electronic means; “securities
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
director from such companies during the previous year; (b) Specify the total remunerations, received from both the Company and the subsidiaries, and the total number of the executive directors and executives
is the contracting party to set up a mechanism for the management company or its delegate to examine or verify the correctness of the portion of income the fund received under the agreement and to
. (2) Any securities company, which ceases to undertake any particular category of its business or ceases any particular transaction which requires reporting, and when the Office has received notice in