mutual funds’ assets; (c) Systems for verifying and enumerating mutual funds’ assets to ensure accuracy and totality; (d) Systems for making asset inventories that show the details and the amount of mutual
monitoring and inspection 2. Enhancing the role of custodians as gatekeeper by requiring information on the purpose of each stock transfer, to be used in verifying investors' stock holdings. 16 Increasing
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...
Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in relation to sources of funds used
the Securities Industry Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information, information gathering in
laundering authorities or the Securities Industry Associations. The enhanced KYC/CDD process mentioned in the first paragraph shall include: extension of scope in gathering and verifying of information
supporting reasons and willingness of the nominated candidates. 3.4 Background checks on the potential candidates should be performed by verifying with the relevant entities that the candidates are not
; 2. system for auditing and verifying foreign securities deposited with foreign custodians against the entries in the account prepared by the applicant; 3. system for administering, dealing, and
limit, including the procedures for verifying information on the percentage of unit holding by such person or group of persons; (8) Other facts necessary for making a decision to invest in the investment