as securities broker, the securities company shall establish methods and procedures for considering an application for account opening and entering into an agreement with a client in writing . There
acknowledgement of procedures for making a deposit or withdrawal of assets with or from the securities company, and methods for undertaking custody of clients’ assets as well as fees charged for custody of such
into the agreement which appoint the securities company as the securities broker of the client, the securities company shall establish the methods and procedures for considering the application for
securities company, and the methods of the custody of the client’s assets as well as the fee charged for custody of the client’s assets (if any). If the information under the first paragraph changes
methods disclosed by the mutual fund management company under Clause 3(4) hereof. Chapter 2 Private Fund Management Clause 5. In cases where the private fund management company invests in or holds shares of
company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and
which are debt instruments; (2) “ securities company ” means a company licensed to undertake securities business in the category of securities dealing; (3) “ counterparty ” means a person who trades
methods: (a) Disclose only the essences of the policy and guidelines and the full version thereof on the Company’s website; (b) In the case where the Company has incomplete information, for example, no
bonds, in this regard such securities company shall: (a) Provide information on risks and description of bond with one or more of the following methods; (1) Arrange to have staff at the premise of the
. 2 Registration Statement for Securities Offering (Form 69-1) Company: .......... (Name of Securities Offeror) ….....… Offers for Sale