derivatives positions; (b) instruct the closing out of derivatives positions; 4 (c) limit derivatives positions; (d) limit derivatives trading volume. (2) establish the rules requiring members to obtain a

customers’ objectives and needs, each private fund management contract must contain the scope or policy on investment, investment restrictions, and the customers’ right to obtain intelligible and adequate

management contract must contain the scope or policy on investment, investment restrictions, and the customers’ right to obtain intelligible and adequate information on the private fund management. Furthermore

. Clause 5. The policies and procedures mentioned in Clause 4. must be regularly reviewed within the timeframe deemed appropriate by the securities company. Clause 6. Securities company must designate an

6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this

the form of high quality assets with adequate liquidity. Derivatives clearing houses shall establish clear plans to obtain additional sources of funds in cases where their capital is insufficient for

representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of

, and shall be in the form of high quality assets with adequate liquidity. Securities clearing houses and central securities depositories shall establish clear plans to obtain additional sources of funds

by 20 January 2025. The auditor expressed a qualified opinion on NRF’s interim financial statements for the third quarter of 2024 because the auditor was unable to obtain sufficient, appropriate audit

2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ฆ 2.2 Inability to obtain sufficient appropriate audit evidence and the possible effects are material, but not pervasive