the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
come into force on the day following the date of its publication in the Government Gazette. SECTION 3 In this Act: “trust” means legal relationship arising from a trust instrument. “trust instrument
, without or not complying with an order or consent given in writing by the client or any person authorized in writing by the client. Clause 6 A derivatives broker shall take actions as necessary in order for
Depreciation and writing off bad debt and doubtful accounts Income tax to be written off (Gain) Loss from regulation of securities (Gain) Loss from assets distribution (Gain) Loss from foreign currencies
Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
the client . Division 2 Measures for preventing and managing conflicts of interest _____________________________ Clause 17 An intermediary shall determine the policy, in writing, pertaining to
Institutions Development Fund bond and bond or debt instrument issued by the Ministry of Finance; (d) other liquid assets prescribed by the Office. “customer” means a person agreeing to receive an advice from an
securities business in the category of: Ο securities broker; Ο securities dealer that not limited only to debt instrument; Ο securities finance. 1.1 Category of juristic person of the applicant, □ a commercial
for custody of clients’ assets in accordance with the provisions under this Notification. Such rules and practice guidelines shall be in writing, indicating operating procedures and persons authorized