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
shall comply with the regulations under Chapter 7; (8) capital market product trading service with limited discretion according to clients’ pre-determined investment scope shall comply with the
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
receiving requisition of investment unit redemption, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF , the
of investment unit redemption, the scope and limitiation of appointment shall be in accordance with the following rules: (1) in case of investment units in category of gold ETF , the appointment to be
job title; (5) “Training Institute” means training institutes accepted by the Office; Chapter 1 Scope of the Applicability ____________________ Clause 3 . This Notification shall not apply to the
caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into appraisal in risk management
. 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
of promissory note as the case may be as a supplement for the usage of credit rating assessed by credit rating agencies; (4) shall regularly revise the suitability of the credit rating selected
extent that they are neither inconsistent with nor contrary to the provisions of this Notification until the orders and circular letters issued under or providing guidelines for compliance with this