stipulated process; (c) storing evidentiary documents indicating the work process under (a) and (b) in a manner easily retrievable. Clause 5/4 An intermediary shall supervise communication and service
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross-border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
Memorandum of Undertstanding on Streamlined Authorization Framework for Cross- border Public Offers of ASEAN Collective Investment Schemes and being empowered to supervise the collective investment scheme or
inspection made by the SEC Office. Clause 8 A derivatives broker shall monitor and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this
and supervise its employees to comply with this Notification and rules set out by the derivatives broker for compliance with this Notification. Clause 9 In cases where it appears to the SEC Office that
authority, duty and responsibility to supervise principally the operation 4 of the REIT manager and other assigned person (if any) to conduct their functions in accordance with the trust instrument and the
) having a quality control system sufficient and reliable to continuously supervise its auditors to comply with professional standards, provided that such quality control system shall be in accordance with
arrange the Category A investor contact subject to the approval by the Office proceeding in accordance with the rule prescribed by the Office, and shall supervise such Category A investor contact to comply