derivatives without investment limit. Nonetheless, asset management companies are required to put in place a proper risk management system for risks associated with derivatives investment and clearly disclose
control the system concentration limit not concise and does not manage the mutual fund management program as approved. SEC Act S.117 and 125(1) in conjunction with Section 90 of the Penal Code
measure deployed by the firm to decrease or limit the threat from fee dependency which might impair the independence of the audit firm. - Set out the policies and notify the department in charge of the
invest to obtain the assets for its own account. The company shall provide term in private fund agreement showing that the company may invest in securities or assets for private fund management company in
private fund management company invest to obtain the assets for its own account. The company shall provide term in private fund agreement showing that the company may invest in securities or assets for
company to such persons without any delay. Clause 12. In the case where private fund management company invest to obtain the assets for its own account. The company shall provide term in private fund
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
to trading, the Client should obtain from his/her derivatives agent clear explanation of all fees and other charges for which it will be liable relating to trading, settlement or exercise of options
possible limit of individual freedom, regulation is essential to uphold market credibility and orderliness. Yet, the regulator’s exercising of power must be prudent, fair and only as necessary to protect the