approval is required by the regulations); (8) a confirmation letter of the issuer’s acknowledgement of the duties and responsibilities after the offer for sale of securities; (9) a confirmation letter of the
confirmation documents to make sure that they are truly issued by the banks or the asset management companies in charge, and to update their fund books (if any) in the following business day to prevent damage
Recommendations sufficient to provide assurance in the compliance with auditor rotation requirements. • The requirement for the staff to sign on the annual independence confirmation and the information given for
shall have a clear principle in taking of purchase or redemption order of investment units and verification of the acceptance of such order shall to be in accordance with the prospectus in order to gain
verification of the acceptance of such order shall to be in accordance with the prospectus in order to gain confidence among investors. Guidelines 1. Accepting of purchase or redemption order of investment units
, transaction confirmation slip, receipt and clients’ asset statement. In case of cancelling any such form, a cancellation stamp on the form should be clearly visible; (4) prohibiting staff, clients or any
the client. They admitted that {A} contacted the client and made trading order confirmation via phone by herself. {B} and {C} neither met or contacted the client nor received or confirmed any trading
? account to authorize securities transfers to the accounts of her related persons. In so doing, she filled in her own telephone number on the securities transfer form as the transaction confirmation number