securities as well as rules on securities borrowing and lending, investment analysis and giving advice, submissions of clients? transaction confirmations, service in high risk or complex financial products and
and underwriting of investment units and securities borrowing and lending. This is to ensure sufficient information for monitoring and examining safe-keeping of client assets. The consultation paper is
instrument or transaction is allowed without ratio limit, and obligations by way of borrowing or repurchasing (repo) agreement is permitted at the limit of 50 percent of the NAV.A hearing on the principles of
) securities brokerage, securities dealing, securities underwriting, mutual fund management and securities borrowing and lending (SBL) (currently only investment advisory and private fund management businesses
brokerage business, securities dealing business, securities underwriting business, mutual fund management business and securities borrowing and lending business (SBL); (2) KYC providers, gathering and
reporting environment, the AARG must continue to be progressive and work closely with the profession to raise audit quality standards and provide reliable financial reporting in ASEAN.? _________________
’ participation in the ASEAN CIS Framework marks a progressive step towards greater integration of ASEAN capital markets. The enhanced reach of the platform will open up new opportunities and markets to both
borrowing and lending, and joint venture management. As a result, any intermediary wishing to operate only brokerage business, for example, would have to meet the high minimum paid-up capital rule despite its
various categories consisting of: (1) equity brokerage, (2) equity dealing, (3) equity underwriting, (4) investment advisory service, and (5) securities borrowing and lending.
. Using infrastructure funds to expedite development of the country will help reduce the government?s budgetary burdens and borrowing needs that could then be geared to other vital investments such as