provision.However, the draft guidelines will be effective and applicable to the aforementioned business operators only if approval from SEC has been obtained. SEC is, therefore, seeking comments from the business
agricultural futures business operators, the SEC will issue regulations to allow them to apply for a license under the Derivatives Act. The regulations will be in line with those currently applicable to
conversion price will also be applicable to Basel III additional tier 1 instruments with condition of conversion to equity. The commercial banks must file registration statement and clearly disclose features
investment consultant, etc. ● Additional documents ( if applicable ) : Complaint letter to intermediary Complaint reply from intermediary Memorandum between the complainant and the investment consultant 2
operates in accordance with applicable law and standards. * Principle 1.4 The board should demonstrate a thorough understanding of the division of board and management responsibilities. The board should
) mission statements e) newsletters f) memorandums g) routine e-mail h) other: please describe Do professionals have access to guidance materials regarding the applicable Quality Control standards? 7 Are
- Applicable to the offering of bills and bonds. - For the offering of bonds, the approval will be granted upon the registration of the transfer restriction, features of bonds, draft terms and conditions and a
Placement to Institutional Investors (II) Private Placement to High Net Worth I nvestors (HNW) Public Offering (PO) Approval Qualifications and approval rules - Applicable to the offering
, the SEC Office hereby issues the following regulations: Clause 1. This Notification shall come into force as from 16 September 2011. Clause 2. This Notification shall be applicable to the following