client to perform whenever using the services; (5) conflicts of interest (if any); (6) practicality between the intermediary and the client in accordance with laws, relevant Notifications and procedure set
Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the
time or a period of time in the future as set out in the contract is paid to the buyer. Otherwise the Client may choose to make or take delivery of the underlying asset (physical delivery) where it will
the intermediary and the client in accordance with laws, relevant Notifications and procedure set by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication
on Standard Conduct of Business with respect to communication with and providing services to clients in the following matters: (1) compilation and assessment of client information shall comply with the
1 Organizational Structure, Operating System and Operational Control Clause 2 In undertaking the derivatives business, a derivatives dealer shall set up organizational structure, operating systems and
securities brokerage or securities dealing which is not limited to debt instruments or investment units; (4) “ institutional client ” means a person who makes transactions with a securities company in
, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of
new money laundering and financing of terrorism techniques. The timeframe for trainings shall be set out as the securities company deems appropriate. Chapter 2 Know-Your-Client / Customer Due Diligence
transaction of the client does not violate or fail to comply with the procedure and method set. Clause 22. A securities company shall not trade securities by using the account of a client for another client