) Clause 32(1), which relates to dissemination of educational documents regarding any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and

full force and effect to the extent that they are neither inconsistent with nor contrary to the provisions of this Notification until the notifications, orders and circular letters issued under or

is less than one percent of the total amount of the shares sold of that company; (9) being a person not having educational qualification, work experience or other qualification as specified in the

indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for

submitted as attachments.) Details of the partners or equivalent in the Audit Firm, a total of .......... persons Names and Last names Educational Qualification Registration No. Performing audit Experience in

. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that

part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is

engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and

two calendar years prior to expiration of approval term; 2.2 Master’s degree or higher from educational institutions accepted by the Office during the past two calendar years prior to expiration of

company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles