of Capital for the portion in excess of the particular under Paragraph 1(2) of Clause 4 of such Notification; (3) in case the insurance does not provide retrospective coverage for damage arising from

service or derivatives advisory service; “ insurance ” means a professional indemnity insurance. Clause 3 This Notification shall not apply to the following intermediaries which are: (1) the following

Audit Firm Name: Subject: CLIENT ACCEPTANCE AND CONTINUANCE Prepared By: …………. Date: ……………….. CLIENT ACCEPTANCE AND CONTINUANCE: . Such policies and procedures provides reasonable assurance that the

Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work

representative (if any); (2) information pertaining to ability to repayment and the source of income used for repayment as well as collateral in case of any service required property for assurance; (3) other

, excluding a securities company which is a commercial bank under the law on financial institution business , life insurance company under the law on life insurance and financial institution established under

first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law

rules, conditions, and procedures for appointment and conduct of fund manager; (9) “Training Institute” means training institutes accepted by the Office; (10) “Unit-linked life insurance policy” means an

repayment as well as collateral in case of any service required property for assurance; (3) other information which include the following information: (a)( financial status and asset profile in case of any

foncier businesses, securities companies under the law on securities and exchange, life insurance companies under the law on life insurance or financial institutions established under specific law with the