group of persons with a number of not over 35 persons; (2) The private fund management company shall prepare the client's profile in writing (customer's profiles/ KYC); (3) The private fund management
, the derivatives advisor shall arrange to have an agreement in writing relating to the settlement of disputes by arbitration organized by the Office as specified in the notification of the Office when
arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
client’s securities held under the name of a derivatives broker as a result of client’s default pursuant from derivatives transaction. Clause 2. Derivatives broker shall arrange a contract or an agreement in
Rules for Custody of Customer Assets and Essential Details of Custody Agreement
/ reverse repo agreement regulations benefits from the securities in possession . In any case, securities companies would need to establish efficient control and risk management system.SEC is therefore
. Clause 6. Prior to agreeing to provide selling agent service for units of foreign collective investment scheme, securities company shall arrange to have agreement in writing with person responsible for
selling, repurchasing and redeeming units of foreign collective investment scheme, a securities company shall arrange to have an agreement in writing with the CIS operator at least in the following matters