writing and if the Office has no objection in writing within fifteen days as from the next following date after the Office has been notified, such fund supervisor can then make such changes. In cases where
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
4. A notifications of allegation, appointment, imposition of administrative sanction, consideration on appeal or any other matters shall be made in writing. Clause 5. In cases of urgency or where a
transparency, efficiency and effectiveness of the Committee's activities, the SEC Board requires the Committee to prepare and present its report in writing and also disclose the report in the SEC's annual report
Reform Priorities in Asia: Taking Corporate Governance to a Higher Level Taking Corporate Governance to a Higher Level reform priorities in Asia 2011 REFORM PRIORITIES IN ASIA: TAKING CORPORATE GOVERNANCE TO A HIGHER LEVEL 2011 This work is published on the responsibility of the Secretary-General of the OECD. The opinions expressed and arguments employed herein do not necessarily reflect the official views of the Organisation or of the governments of its member countries. This document and any m...
investment advisory company shall give a prior notice in writing to the Office. Unless the Office gives an objection in writing within fifteen days from the date of receiving the notice, the investment