payment information of intermediary for money transfering between customers and intermediary ; (3) sending transfer instruction to banks as an agent for intermediary . “ fund ” means mutual fund, private
value of capital market product by [i] considering factors which impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction
impact on future performance, for instance, economic, financial, political, and related industrial factor, including managerial direction of an entity issuing capital market product and various business
in the same direction with regard to proprietary trading in the following matters: (1) General Provisions shall be in accordance with Chapter 1; (2) Additional Rules for Proprietary Trading of
intermediaries to proceed in the same direction in compliance with the Notification on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1
Audit Firm Name: Subject: DOCUMENTATION Prepared By: …………. Date: ……………….. Documentation Sr. Particulars Reference / Sr. Particulars Reference / Guidance Notes Description 1 How does the firm document
advertising rules prescribed under this Chapter, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the
under this Notification, the securities company shall, as per the direction of the Office, perform one or more of the following acts: (1) cease the advertising; (2) rectify the information in the
conduct shall be disclosed in attachment for investors to understand and use them as guidelines for monitoring future business direction. 6.3 Material changes and developments regarding policy, guidelines
Audit Firm Name: Subject : Leadership Responsibility Prepared by Date LEADERSHIP RESPONSABILITIES FOR QUALITY WITHIN THE FIRM Particulars Reference / Guidance Notes Description 1 Who is the ultimate