technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
.. PAGE (UNOFFICIAL TRANSLATION) The Office of the Securities and Exchange Commission 12 June 2007 To Managers All securities companies Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for Renewal
aggregate of more than 75% of all shares with voting right; (15) Foreign investors with the same characteristics as such investors under (1) to (14) mutatis mutandis ; (16) Juristic person as permitted, on a
substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application
. is clearly separated from those to be offered to the public, which is already disclosed in the registration statement and draft prospectus; (2) allotment of securities left from subscription of all
prevention of damage caused by risks arising from business undertaking to assure that there will not be any adverse effect on business undertaking of the securities company . All types of risks which may occur
subscription of all subscribers; (3) underwriting of securities which is generally offer for sale to the public in the category of debt securities, convertible bond, exchangeable bond or sukuk whereas a
who is independent from the responsible person for managing information security incidents under (2); (7) maintain all documents related to the management of information security incidents at least two
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
, and whose unit holders are all institutional investors in accordance with the definition of “ institutional investor ” in the Notification of the Office of the Securities and Exchange Commission No. Sor