case where the Office considers that the applicant has properly and fully met the qualifications prescribed under Clause 9, the Office shall make proposal to the Securities and Exchange Commission for
of the mutual fund, which properly reflect the mutual fund’s risk level, according to the guidelines attached to this Notification; (3) classification of investment units, at least including the
that information technology systems of derivatives exchanges are effective and secured so that they can maintain confidentiality, accuracy, credibility of information, remain active for use, and properly
(if any). (3) a procedure for verifying clients’ authentication suitably and reliably to ensure that the investments or transactions related to capital market products have been executed by the clients
procedure for verifying clients’ authentication suitably and reliably to ensure that the investments or transactions related to capital market products have been executed by the clients or their assigned
prescribed in sub clause (3) of the first paragraph for any member of the provident fund in order that the member is able to select investment policy properly. Clause 31 For the purpose of compilation and
-inclusive: CRAs and regulators should consider whether or not additional measures may be necessary to properly implement the Principles in a specific jurisdiction. Further, the IOSCO CRA Code is not designed
cannot function properly so that the management and storage of information concerning their business operation can proceed normally. Clause 18 Securities clearing houses and central securities depositories
behavior that, if considered on a reasonable ground, indicates failure to discharge properly the duty to supervise a juristic person or a company under its management, or any personnel under its supervision