for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include
for the custody of client’s assets. In this matter, the securities company must strictly supervise the implementation of such guidelines. The rules or guidelines under the first paragraph must include
Office and shall also supervise the investor contact to act in compliance with such rules. A Securities company may appoint any person who is not an investor contact to contact, solicit, or give any
prescribed by the notification of the Office. The securities company shall act in compliance with rules prescribed by the Office and shall also supervise the investor contact to act in compliance with such
securities company shall act in compliance with rules prescribed by the Office and shall also supervise the investor contact to act in compliance with such rules. A Securities company may appoint any person
; (2) to supervise the special purpose juristic persons to ensure their compliance with this Royal Enactment; (3) to prescribe types of assets and securities which may be approved for securitization and
branches or representative offices anywhere. SECTION 19.4 The SEC Office has the power and duty to: (1) perform any act for the implementation of the SEC’s resolutions; (2) supervise compliance and
power and duty to: (1) perform any act for the implementation of the SEC’s resolutions; (2) supervise compliance and enforcement of law against any person violating the provisions of this Act; (3
into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the
into its custody; (2) System to coordinate with the custodian agent to ensure that the applicant is able to perform its duties accurately and completely as a custodian; (3) System to ensure that the