cooperated with the Association of Securities Companies in its issuance of the code of conduct on relationship with clients. Brokers must closely monitor clients’ trades and ensure the quality of advice given
Appointment of Agents for Selling Investment Units or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds (Codefied) 14/09/2010 01/10/2010 Notification of
The SEC has collaborated with the single form working group to develop the single form, which contains a standard information set. The working group consists of representatives from stakeholders in
Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers, and Underwriters Limited to Investment Units and Derivatives Fund
attended by over 80 regulators and audit firm representatives from 6 ASEAN countries and Hong Kong. Besides the AARG members comprising Malaysia?s AOB, Singapore?s Accounting and Corporate Regulatory
| - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology | - |- Business Continuity Management (BCM) | - |- Port Investment of Derivatives Agents
Detailed Rules on Maintenance of Capital of Mutual Fund Management Companies, Private Fund Management Companies, Securities Brokers and Dealers and Underwriters limited to Investment Units and
Appointment of Agents for Selling Investment Unit or Receiving Requisition of Investment Unit Redemption and Marketing Representatives of Private Funds dated 3 August 2009 shall be repealed. Clause 2 In this