,” describe the source of such material (such as access through computer software databases containing professional and regulatory literature). b. If “no,” describe how the firm obtains reasonable assurance

specified as prohibited characteristic in Group 2 under Clause 30; (3) having a reasonable ground to believe that there is a materially inappropriate demeanor [i] affecting clients , investors , the company

Clause 30; (3) having a reasonable ground to believe that there is a materially inappropriate demeanor [i] affecting clients , investors , the company, shareholders as a whole, money market or capital

, securities index or any other variables as specified in the notification of the SEC with the approval of the Cabinet. “derivatives” means a contract having one or any combination of the following

skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4

opinions on by the auditor of the mutual fund and certified by the management company, within fifteen business days as from the dissolution date of the mutual fund; Where it is necessary and reasonable, the

approval of the Cabinet. “derivatives” means a contract having one or any combination of the following characteristics: (1) a contract in which one party is obliged to deliver goods as specified in the

investor contacts as follows: 1. Participation in competency enhancing activities 1.1 Acceptable types of activities : One or a combination of the following activities: (1) Attending training courses or

notified promptly for all identified deficiencies in the quality control system. C Complaints and Allegations 1 Does the firm have policies and procedures designed to provide it with reasonable assurance

the cause under Clause 4 (3), the derivatives business operator shall remove such executive from the position or from office within a necessary and reasonable period of time without delay. Clause 6