prepare and keep account of customer asset for each customer separately from the account of its own, in accordance with the rules specified in the notification of the Capital Market Supervisory Board. In
of conduct, CRAs should keep in mind that the laws and regulations of the jurisdictions in which they operate vary and take precedence over the IOSCO CRA Code. These laws and regulations may include
will keep us more disciplined in areas such as exposure management, a crucial aspect given the complex nature of today’s markets. Additionally, we have created centralized expert enabling functions in
correctly, completely and up to date, and shall keep them for not less than two years from the date of preparing such document evidences: (1) information of a customer using for supplementing the giving
or its staff. Clause 14 A management company shall require the representative to completely keep updated evidentiary documentation as for providing services to clients. In this regard, such documents
performance of the management company itself or its staff. Clause 14 A management company shall require the representative to completely keep updated evidentiary documentation as for providing services to
performance of the management company itself or its staff. Clause 14 A management company shall require the representative to completely keep updated evidentiary documentation as for providing services to
selection of a custodian agent to ensure that the custodian agent has system ready to keep assets into its custody; □ (3.8)** System to coordinate with the custodian agent to ensure that the applicant can
system ready to keep assets into its custody; □ (3.8)** System to coordinate with the custodian agent to ensure that the applicant can perform its duties accurately as a custodian; □ (3.9)** System to
, so as to ensure compliance with this Notification, the anti-money laundering legislations, the internal policies and procedures, and the Securities Industry Association Guidelines, and to keep up with