MRF MoU requires business operators to comply with the regulations of the host regulator of the jurisdiction wherein the offerings of fund take place; · The SEC is revising the related regulations to
resolved appropriately? Are the nature, scope and conclusions resulting from consultation documented? 8 Are sufficient resources available to enable appropriate consultation to take place? If yes, please
company shall keep records of investment advice, trading instruction and negotiations regarding securities investment with the clients for at least three month from the date which the action take place
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
insufficiently allocated at a specified level; (3) establishment of policies and measures on information security under Clause 8 and Clause 9. Clause 6 An intermediary shall have in place information technology
. Clause 18 At the time the derivatives broker agrees to provide the service to the client, the derivatives broker shall put in place a written agreement which provides that upon the client’s request for
user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
. In the case that the cloud computing was employed to carry out critical activities , the intermediary shall ensure that at least the following matters is in place: 3.1 establish the policy on the use
, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk management for business continuity of intermediary pursuant to this
regulatory agency and later obtained license to undertake securities business, provided that such regulatory agency has in place the requirements or practices under the principles similar to the rules on risk