a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient processes to ensure that the client is the same person whose identity
. Companies shall determine a sufficient scope of testing to ensure that companies are able to operate according to the BCP correctly and efficiently as expected. 8.2 In testing and assessing the BCP, companies
significant change4. Companies shall determine a sufficient scope of testing to ensure that companies are able to operate according to the BCP correctly and efficiently as expected. 8.2 In testing and assessing
procedures for settlement of disputes by arbitration to be able to accommodate disputes relating to securities and derivatives contracts to ensure that the arbitral process organized by the Office is
by arbitration to be able to accommodate disputes relating to securities and derivatives contracts to ensure that the arbitral process organized by the Office is convenient, expeditious and fair for
to be able to accommodate disputes relating to securities and derivatives contracts to ensure that the arbitral process organized by the Office is convenient, expeditious and fair for investors, the
and unblemished past records. Such persons shall perform the investment for mutual funds and private funds with fiduciary duties. In order to ensure the fulfillment of the aforesaid requirements, it is
and unblemished past records. Such persons shall perform the investment for mutual funds and private funds with fiduciary duties. In order to ensure the fulfillment of the aforesaid requirements, it is
and unblemished past records. Such persons shall perform the investment for mutual funds and private funds with fiduciary duties. In order to ensure the fulfillment of the aforesaid requirements, it is
conflicts of interest. In case such conflicts cannot be avoided, the procedures to ensure that investors are fairly and appropriately treated shall be implemented; (6) not support, instruct or cooperate with