responsible for preparing records of clients’ assets nor a person responsible for physical keeping of such assets. 3 Clause 6 A securities company shall establish rules or practice guidelines for custody of
Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and Exchange Commission No
Office of Securities and Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and
Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board
Sustainability Bond Guidelines June 2021 Introduction The Green Bond Principles (GBP), together with the Social Bond Principles (SBP), the Sustainability Bond Guidelines (SBG) and the Sustainability
physical movement i.e. sending the digital file of advice or other digital arrangements such as skype, teleconference etc. 9 3.3 Application process 3.3.1 Entry requirement to be Recognised Representative In
guidelines for compliance with the Notification of the Securities and Exchange Commission, which were effective prior to the effective (Translation) -6- date of this Notification, shall remain in full force
guidelines for the custody of the client’s assets in accordance with the provisions of this notification. Such rules and guidelines must be made in writing, elaborating procedural steps of authorized person
Sustainability Bond Guidelines June 2018 Introduction A market has developed for bonds aligned to both the Green Bond Principles (GBP) and the Social Bond Principles (SBP) (referred to as the