issuer and those who have an opportunity to make use of such inside information ; (4) clear scope of authority , duty and responsibility of directors, executives and work units. Clause 7 A securities
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
derivatives fund management contract shall have the characteristics in compliance with the following rules: (1) Having a clear scope of investments or restrictions of investments; (2) The agreement shall not be
shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
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
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for
Funds as a result of Merger and Amalgamation of Mutual Funds dated 26 October 2000 which are in effect prior to the effective date of this Notification shall remain in full force to the extent that they