a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient processes to ensure that the client is the same person whose identity
other persons in a manner which is similar to or which is in competition with the operation of the management company except where the management company can show that its organizational structure does
measure for such procedure, if necessary. 5.2 The board of directors and executives set suitable indicators for performance appraisal, incentives and rewards with regard to code of conduct, and the
other persons in a manner which is similar to or which is in competition with the operation of the management company except where the management company can show that its organizational structure does
: Is it compulsory to show the position of company secretary on the organizational chart? A: The Securities Law requires every listed company to appoint a company secretary, but showing the position on
: Is it compulsory to show the position of company secretary on the organizational chart? A: The Securities Law requires every listed company to appoint a company secretary, but showing the position on
show its capability to operate as a derivatives exchange as prescribed under Section 57 and in accordance with the Notification of the Securities and Exchange Commission, the Notification of the Capital
SEC has amended the procedure to make it easier for asset management companies to seek a unitholders’ resolution to revise or modify a mutual fund project and its management procedure by
or falsifying documents. SEC has therefore issued regulations specifying suspicious circumstances and the procedure for obtaining facts relating to such circumstances to be in accordance with the
of instruments while intermediaries and selling agents must have in place the procedure to ensure their clients? understanding of associated investment risks and returns before making investment