indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for

fund of which the returns calculation is made in a complicated way (complex return fund); (d) investment units of a mutual fund of which the fund's net exposure in commodities is made through its

.; (b) the complicated nature of the action or the tools using for such action such as using a disguised name of other person or establishing a company for concealment; (c) the record of behaviour of

. 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

Securities Companies to Proceed with Customer Complaints dated 1 February 2002 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that they are