appointed under the Bankruptcy Act. SECTION 38. After the derivatives business operator has taken steps under Section 37, should there remains any customer asset, the derivatives business operator shall
period, as previously issued, included a qualified opinion, a disclaimer of opinion, or an adverse opinion and the matter which gave rise to the modification is unresolved ( 2.3.1 corresponding figures are
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
remains outstanding (open interest); (4) the amount and type of asset deposited as margin or for settlement of derivatives contract on maturity; (1) the profit gained from derivatives position and the
audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate 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
intermediary should establish another measure to ensure that the operation of the outsourcee remains in compliance with the agreed term; (7) establish the term for the outsourcee to agree upon to allow the SEC
giving rise to damage to the reputation or the financial condition or the business operation or the customers of such business. Clause 5. In applying for an approval to act as a mutual fund manager, the
requested by a trustee or a beneficiary; (3) the trustee remains the only beneficiary; (4) the causes of alteration of the trustee under Section 22(1) (2) (3) or (4) occurs whereas the trust instrument
units, of which their functions constitute or may give rise to conflicts of interest, from other units and personnel, and specifying the work procedures of those units and personnel for preventing