provision of services to clients shall be supervised in accordance with the work system laid out by the intermediary. Clause 26 For the communication with or providing services to a new client, an

out policy and supervised the SEC Office’s overall operation and implementation of the SEC Strategic Plan in line with the CMDMP and according to the set timeframe. In doing so, the SEC Board also gave

– (a) the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer

are enforceable under the SEC Act, the violation of which is a criminal offence. The extent of the SEC’s authority is further defined in SEC notifications, in which details of its context and powers

registration statement. B. Advisers and Other Parties Provide the names and addresses of a. the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; b. sponsor

company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles

following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles, duties and responsibilities

of the company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff

climate scenarios conducted Choose the appropriate impact assessment tools to determine the change in the selected risk metrics for each scenario. The tool can assess the extent to which the business model

director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for