, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF, the appointment to be the agent in the Kingdom of
of investment unit redemption, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF , the appointment to be
company”. 4 Clause 5 In appointing a juristic person to be an agent for selling investment units or receiving requisition of investment unit redemption, the scope and limitiation of appointment shall be in
ASEAN SOCIAL BOND STANDARDS Issued: October 2018 2 ASEAN SOCIAL BOND STANDARDS 2018 CONTENTS Page Introduction 3 Definition 6 1.0 Scope of the ASEAN Social Bond Standards 7 2.0 Objective of the ASEAN
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
Investment Consultant/Investment Planner Regulatory Summary Types and Scope of Duties Qualifications Training Courses Training Courses for Migration (for IC and IP approved before 1 Janurary 2018
system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into