you are in any doubt, you should consult your local intermediary, local representative, or CIS operator. The copy of this registration statement has been registered with the Office of Securities and
collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult your local intermediary, local
foreign collective investment schemes should understand the concept and principles of the foreign collective investment schemes. If you are in any doubt, you should consult your local intermediary, local
-money laundering legislations” means all legislations in relation to anti-money laundering, including ministerial regulations, notifications, rules, regulations, and other subsidiary legislations; (7
the firm has designated Ethics Partner who takes responsibility of all independence issues? If yes, Does he/she have the seniority, experience, authority and resources and take responsibility for the
disclosed in a range deemed appropriate, as well as, the order of priority of such purposes. If the anticipated proceeds will not be sufficient to fund all the proposes, the amount and sources of other funds
specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.
management company should treat all clients fairly and refrain from taking any action that may cause the conflict of interest except where a transaction is executed having received consent from the client or
ownership of, the possessory right or the leasehold in land, building, construction, machine, equipment including all other related assets used in the operation of an infrastructure business; (b) the
(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily