securities company shall set out rules on seeking and granting of approval in writing. Clause 15 In cases where a securities company finds that an investor contact may violate or not comply with the rules
persons controlling client derivatives trading, as well as the financial status and repayment ability of the existing clients from whom the derivatives broker has never received such information or
and repayment ability of the existing clients from whom the derivatives broker has never received such information or documentation by 31 December 2009. Clause 36 All notifications of the SEC Office
against securities and exchange law. This seminar is the starting point to help lawyers to be preparedness and extend their ability to advocate or advise investors on legal requirements and procedures
references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and
property rights over EHM mine and JAB mine in Indonesia, at the total amount of USD731 million or approximately 24 billion baht. The deadline to clarify this issue was extended to within November 2018 and
experience with relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; · The firm has sufficient personnel with the necessary competence and
Representative will be permitted to perform the following activities in the Host Jurisdiction: (i) issuing or promulgating research analysis or research reports concerning the capital market products as set out in