and internal audit and control system in order to be able to efficiently operate derivatives business, including having control and follow up measures to ensure the implementation in accordance with the
Continuing Professional Development for all principals and staff? 7 Do these written policies and procedures cover the following general matters: · ensure communication of independence requirements to its
and controlling system for acquisition and disposition of client’s assets; □ (3.3) System for verification and reconciliation of client’s assets to ensure accuracy and completeness; □ (3.4) System for
securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 10. For an advertisement related to a promotion which provides investors who invest in
fund with the same investment policy, the securities company must disclose details of the guarantee or the guarantor of such mutual fund or private fund. Clause 6. For an advertisement related to a
capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
shall be made with right of recourse and without any waiver or limitation of liability of the endorser, or the guarantee shall be given unconditionally for the whole amount of principal and interest, as
units of domestic money market fund; (4) the clients who wish to invest in shares or share warrants of a company and they are existing shareholder of the company while there is such investment. In case
interest of investors based on proper and effective rules and regulations. This serves to assure investors that management companies will appropriately manage the investments for investors, keeping in mind
services to clients, an intermediary shall have a system to support such said activities and ensure that the communication channel, disclosure, supervision and the personnel assigned by the intermediary are