actions: (a) gather and recheck information in addition to the normal course of operation; (b) seek information on the source of income used for executing the client’s transactions; (c) arrange for the
actions: (a) gather and recheck information in addition to the normal course of operation; (b) seek information on the source of income used for executing the client’s transactions; (c) arrange for the
Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official views of the Organisation or of the governments of its member countries. This document and any m...
the importance of the aforementioned matters to their staff, along with encouraging the implementation of those principles. To achieve this, it is suggested that the firms arrange a small-group training
account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of Business , the intermediary shall arrange such agreement in compliance with the
trading account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of Business, the intermediary shall arrange such agreement in compliance with the
regulations. Clause 5 An approved person for the operation under a regulatory sandbox in the same manner as a derivatives exchange shall arrange an efficient and fair trading system which shall additionally
for the operation under a regulatory sandbox in the same manner as a derivatives exchange shall arrange an efficient and fair trading system which shall additionally cover at least the following matters
unit price is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office. Such report shall contain at least the following
unit price is found incorrect. The management company shall further arrange to maintain a copy of such report at its office for inspection by the Office. Such report shall contain at least the following