and efficient channel for cross-border distribution of funds in these three markets. The member jurisdictions have also published the Handbook for CIS Operators of ASEAN CISs which provides guidance
data frequency, aiming to provide the SEC with processed data to facilitate more efficient capital market risk assessment in various aspects. The SEC is proposing to amend the reporting rules and
technology; (2) Defining clear roles, responsibilities, and involvement of the board of directors, including the governance body, to ensure secure, effective, and efficient IT practices and usage in the
to pass the test on basic knowledge, rules and regulations and knowledge on specific product which investor contact intends to be a seller. If intending to expand scope of duty to additional product
to check whether the work performance of such designated person is within the scope of power, duties and responsibilities; (2) determining clearly the rules concerning consideration for approval of
services and investment choices will be available to serve investors? risk appetite. Also, the investors will have wider opportunities to obtain a wide-range investment advice from independent business
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for