to the extent that it is not contrary to the purpose of the creation of trust. SECTION 21 In cases where the SEC Office has issued notifications specifying additional particulars and statements under
offence related to property committed with dishonest intent; (3) having been a director, a manager or a person with power of management of a financial institution which had its license revoked, unless an
, regardless of whether the sentence has been suspended, except for the offences committed through negligence or minor offences; (4) being or having been a political official or holding or having held any
. 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
against property, or lacking due care, loyalty or practice on code of conduct as a professional. Clause 31 In case there is a reasonable ground to believe that the following demeanors are committed, it
. Clause 31 In case there is a reasonable ground to believe that the following demeanors are committed, it shall be deemed that such demeanors are prohibited characteristics in Group 3: (1) having a
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