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 Clause 23
from time to time, to allow the SEC Office to monitor compliance with this Notification, within a time period specified by the SEC Office, provided that the requirement does not cause unreasonable burden
Conclusion Appendices Figure 12 Implementation Path (Illustrative) organizations’ risk management and strategic planning processes. As this occurs, organizations’ and investors’ understanding of the potential
. Clause 2. In carrying out the securities borrowing and lending business, the business operator shall, whether acting as the borrower or its agent or as the lender or its agent , do so with an understanding
agent or as the lender or its agent , do so with an understanding that such borrowing or lending is made in accordance with any of the following purposes: (1) to enable the borrower or other persons to
control system at the firm level and the individual engagement level, the SEC encourages all stakeholders to attain a better understanding and awareness of their roles within the ecosystem, from the
investment universe. These policies should be communicated to clients and beneficiaries in plain and understandable language. 2.2 Active monitoring Institutional investors should monitor closely the companies
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of