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
, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the
compliance with law establishing such legal entity or law controlling business undertaking of such legal entity; (4)3 being able to show that capital market personnel performing one of the following duties has
by the Office. 2. Scope of activities The scope of activities must relate to the skills and knowledge useful for performance of duties as investor contact including: 2.1 Business-related knowledge e.g
job title; (5) “Training Institute” means training institutes accepted by the Office; Chapter 1 Scope of the Applicability ____________________ Clause 3 . This Notification shall not apply to the
4. Other objectives, e.g., capital for business cashflow Remarks : 1. Disclose the spending estimate classified by objectives, which may be done in the form of appropriate spending range, in the order
receiving requisition of investment unit redemption, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF , the
of investment unit redemption, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF , the appointment to be