have done favours which clearly benefit the company, such as customer, supplier, etc. The process of allocation of shares to sponsors The board of directors specifies the nature of favours The board of
provident funds 2.1 Disclosure of Information After a private fund management agreement has been executed, the private fund management company shall disclose the following information to its client: (1
. Execution of Agreements for Management of Private funds or Provident Funds 1.1 Provisions for the management of private funds for a client: (1) A client of a private fund shall comprise private individuals/a
clearing and settlement system, or protecting and preserving benefit of customer. Clause 10 Provisions of Clause 3 and Clause 4 shall not be applicable to shareholding by major shareholder existing prior
client assets and the system . The calculation is as follows : NCR = Liquid Assets (risk adjusted) - Total Liabilities General Liagilites + Margin Requirement In case of shortfall, the operator is
Acceptance and Continuance of Client Relationships and Specific Engagements Engagement Performance Resources Information and Communicatio n Monitoring and Remediation Proces Regulatory Summary of
service shall be in form specified in the SEC’s Notification. Clause 10 The licensee to operate securities business in the category of investment advisory service shall commence securities business
2.2 Securities trading by taking advantage of the information related to a trading orders of securities or derivatives of any client before completing the order of such client (Section 244/1 and