circumstance that gives rise to justifiable doubts as to their impartiality or independence, the respondent shall submit a letter of challenge together with the reason for the challenge as per Form OrYor. 6
accordance with the second paragraph shall be completed within three months from the end of each accounting period. For each financial year, such preparation shall be completed within twenty-one days from the
information among work units and personnel; and internal control measures to audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including
training institute or having completed the courses that are approved by the Office; (4) Being neither a permanent staff member nor an executive who has power of management in other companies, nor being an
the financial statements for the first six months of the financial year shall be completed within three months from the end of each accounting period, while the financial statements for each financial
impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of
Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by Qualifying CIS Operator ) [ ] 2.* Standard letter issued by the Home Regulator to a
unitholders on the dissolution date of the mutual fund. Once such process has been carried out, the liquidation shall be deemed to be completed. In distributing money to the unitholders according to the first
of the SEC Office □ Supporting document items are completed. □ Supporting documents items are not completed, and shall request for additional supplementary document as follows; 1
transactions executed on behalf of the customer from the time when the order is taken until the transaction is completed; (2) evidence confirming derivatives trading transaction conducted by the customer