prevent leakage of information among work units and personnel, risk management, operational management, and internal audit and internal control are put in place, so as to efficiently accommodate the
are comparable to this Notification. Chapter 1 Risk Management System ______________________________ Clause 4. Securities company must have in place written policies and procedures concerning risk
be entitled to obtain reimbursement from proceeds or property out of the trust property unless the trust instrument specifies that the payment shall be borne by the trustee. The right to obtain
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
representative office in the Kingdom shall obtain an approval from the Office. The representative under the first paragraph shall undertake only those businesses specified in the approval. The provisions of
or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an
in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset management
long term, such as damage on building or place of business or branches, a failure of information technology system, inaccessibility or unusability of building or personnel unable to come for work in both
. Clause 4 In undertaking custody of assets of clients , a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under
manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to