undertake securities business under this Act. "securities business" mean any of the following securities businesses: (1) securities brokerage; (2) securities dealing; (3) investment advisory service; (4
director, deputy manager, assistant manager, department director, branch manager and shall also mean any person holding equivalent position called otherwise and such person shall be responsible for a line of
mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on
with Customer Complaints dated 1 February 2002 shall mean a reference to this Notification. Clause 7 This Notification shall come into force from 1 September 2009. Notified this 3rd day of August 2009
Customer Complaints dated 1 February 2002 shall mean a reference to this Notification. Clause 7 This Notification shall come into force from 1 September 2009. Notified this 3rd day of August 2009. (Mr. Vijit
departmental director, a branch manager and shall also mean a person holding any equivalent position called otherwise who is in charge of the following business functions, as the case may be: (a) Business
listed and in cases where the units of foreign ETFs are listed on several exchanges, the term shall mean the exchange specified by the foreign ETF as the home exchange; Clause 2 Units of foreign ETF with
-security: concerns over confidentiality of data. Cyber-security may not be an IT issue but a business risk. Consideration being given to what cyber-security risks mean to the financial preparers and auditors