transaction of securities dealing with a client , a securities company shall specify a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient
employee responsible for the said duties to provide true and accurate information to the client. Clause 18 In considering a transaction of securities dealing with a client, a securities company shall specify
applicant seeking an approval to act as a mutual fund manager possesses any prohibited characteristics under Clause 4(9), (10), (11), (12), (13), (14), (15), (16), (17) or (18), the Office may specify a
an approval to act as a mutual fund manager possesses any prohibited characteristics under Clause 4(9), (10), (11), (12), (13), (14), (15), (16), (17) or (18), the Office may specify a period of time
least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized
paragraph two. In granting an approval under paragraph one, the Office may specify a period in which the applicant so approved to be listed in the register of person qualified to be fund manager shall attend
the period specified by the Office under paragraph two. In granting an approval under paragraph one, the Office may specify a period in which the applicant so approved to be listed in the register of