Re: Operational Control and Information Technology Security of Securities Companies Whereas in these days securities companies widely accept information technology as an instrument for securities
potential, and the names of competitors (only in the case of duopoly or oligopoly). 2.3 Procurement of products or services (a) Describe an overall procedure for procuring products for sale during the past
information on any potential conflict of interest to the client adequately and appropriately\ prior to entering into such transaction. Clause 10 In the case where an intermediary has a reasonable ground to
come into force on the day following the date of its publication in the Government Gazette. SECTION 3 In this Act: “trust” means legal relationship arising from a trust instrument. “trust instrument
the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
potential conflict of interest, disclose the upcoming related party transactions; * The guidelines for disclosure of the use of proceeds shall be in accordance with the Disclosure Guidelines for the
. 4. Investments in securities An investment in debt instrument means an investment in a contract showing that the instrument issuer has both directly and indirectly obligation to pay cash or other
referenced evidence in making investment decision; (4) Potential investment risks are managed when making investment decision. The investment shall be done reasonably and appropriate to the fund at a
notification of the SEC. "debenture" means any debit instrument of whatever name excluding bills, divided into units, each with equal value and a predetermined rate of return, issued by any company to a lender
exceeding one year and shall not have any restriction on selling or transferring before maturity; (3) investing in debt instrument avaled in full amount or unconditionally guaranteed by the Ministry of