derivatives brokerage business shall be a limited company or pubic limited company which is newly established to obtain the license for such business and in which one or several gold business operators
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
have recruitment policies and procedures? If yes, please describe. 2 How the firm determines staffing requirement and minimum qualifications for each position? 3 Does the firm always acquire satisfactory
shares or rendering a financial support that will later generate the right to acquire shares of such business, and being involved in the supervision of the business plan, the operation or the improvement
(paragraph ........); ( 2.1.2 incorrect use of accounting policy (paragraph........); ( 2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ( 2.2 Inability to obtain sufficient
the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible
. In this regard, the management company shall appoint only one [1] person who obtain approval to be listed in the register according to rules set out in the second paragraph of Clause 6. (2) in case the
specified in the fund project provided that the management company is able to show that such redemption will not affect the fund’s viability; (2)* having the term, infrastructure fund, at the end of its name
obtain prior approval in accordance with Clause 19. In cases where the securities company has submitted the contents of an advertisement to the Office, and the Office does not make an objection within five
where management company invest to acquire any assets for its own account (proprietary trading), management company shall provide an effective operating system to protect such investment or entry into a