policy, the securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 10. For an advertisement related to a promotion which provides investors
fund with the same investment policy, the securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 6. For an advertisement related to a
disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 6. For an advertisement related to a promotion which provides investors who invest in investment units with
securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 10. For an advertisement related to a promotion which provides investors who invest in
and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the
system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the aforementioned. Clause 6
Continuing Professional Development for all principals and staff? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its
? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its personnel; · require principals and staff to be alert