Quality Control policies and procedures properly covered in induction, professional training and Continuing Professional Development for all principals and staff? 8 Do these written policies and procedures
; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified in details in Chapter 7. As a result of promulgating this
Re: Rules, Conditions and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) and Section
and Procedures for Advertisement Related to Promotion of Sales of Investment Units and Providing of Fund Management Services _____________ By virtue of Section 98(10) of the Securities and Exchange
services to the client , as specified in details in Chapter 5; (5) advertisement and sale promotion , as specified in details in Chapter 6; (6) particular provisions for some kinds of service, as specified
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
opportunities or constraints – for example, obtaining a business license, concession or investment promotion – and clarify the respective benefits thereof as well. In the event that the Company or a subsidiary
interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the overall business operation the Company or the group of companies. 2. Nature of business In case
ownership of, the possessory right or the leasehold in land, building, construction, machine, equipment including all other related assets used in the operation of an infrastructure business; (b) the
disclosed in a range deemed appropriate, as well as, the order of priority of such purposes. If the anticipated proceeds will not be sufficient to fund all the proposes, the amount and sources of other funds