securities company shall have a code of conduct in writing, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
Business, an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
Section 222/35 2 3. Opting out of being members Members of the class have the right to opt out of being members by notifying their wish in writing to the Court within the time period prescribed by the Court
affiliated must notify the SEC Office in writing of its intention for the applicant to do so, and the SEC Office must send a letter of acceptance before the applicant can use the fast track system. In this
any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as appropriate within the
grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as
grant approval for any person, the applicant will be informed in writing and reasons shall also be provided. The Office may notify the applicant to clarify or submit additional documents evidence as
the clients’ requests within 15 days from the date when the SEC notifies the company in writing of the SEC Board’s resolutions. (The deadline falls on 11 March 2024). In the event that