. Clause 6. A securities company shall establish in writing a business continuity plan covering all critical functions which at minimum shall include the following components: (1) Operational procedures for
intent made in writing that he or she does not wish an intermediary to implement methods and procedures complying with the details in this Chapter; (3) investor or client who uses services related to
clients in writing, specifying the scope and conditions on providing services including the right of the client to use the services. In case of change of material information, the intermediary shall review
, the transfer of investment units, and the transfer restrictions of investment units; (9) appointment, authority, duties and responsibilities of the fund supervisor; 2 (10) change of management company
Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
Business, an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
increase as agreed, which might lead to the company’s business downsizing or termination, the Securities and Exchange Commission (SEC) has, on the same day, notified Zipmex, in writing, to provide
for custody of clients’ assets in accordance with the provisions under this Notification. Such rules and practice guidelines shall be in writing, indicating operating procedures and persons authorized