, cover the following issues: 8.2.1 Procedures for communicating with relevant persons, correctness and modern of name list and contact data. 8.2.2 Procedures for evacuating employees or moving personnel to
at the end of accounting period or the average amount of employees for the accounting period. 2. Basis of preparation of financial statement : 2.1 The content as specified that the financial statement
) the circulation of prospectus for solicitation to buy securities. Clause 46 An intermediary who wishes to arrange for an advertisement shall manage the advertisement in the appropriate manner of content
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
taking the following actions: (a) collecting and allocating the client’s assets to the client ; (b) transferring the client asset account and the client’s assets to another intermediary ; (c) closing the
submit reports on investment in or disposition of assets which requires transferring of the securities company’s money out of or into the country. Such reports shall be prepared and submitted as per the
circulation of prospectus for solicitation to buy securities. Clause 46 An intermediary who wishes to arrange for an advertisement shall manage the advertisement in the appropriate manner of content, proportion
pledged with the fund’s counter parties; Transferring of money or assets for other objectives other than the objectives provided in 1 and 2 shall be approved by the authorized person (such as compliance). 3
Clause 14, the management company shall disclose the information having the content identical to the fund project and the latest draft prospectus to the investors via the Office’s electronic transmission
Auditing and International Standard on Quality Control 1. HYPERLINK "http://www.ifiar.org" www.ifiar.org HYPERLINK "http://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02011D0030-20130701" http