of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a

appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.

comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system

establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties

trading in the Securities Exchange. "competent official" means a person appointed by the Minister to execute the duties in accordance with this Act and whose name is published in the Government Gazette

Act. “competent official” means any person appointed by the Minister to perform duties under this Act. “Minister” means the Minister in charge of this Act. SECTION 4 A trust may be created for the

) storing document and evidence in relation to the customer complaint and the proceedings to handle such complaint for no less than five years from the date the derivatives broker completes its consideration

. “registrar” means a person appointed by the Minister to be the Registrar of provident funds. “competent official” means a person appointed by the Minister to execute the duties in accordance with this Act

required; 2.3 consider risks of media degrading while stored information is still needed and methods on how to handle such risks in case of prolonged storage; 2.4 keep all media in a safe and secured