, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of
on the list of Signatory A of the Multilateral Memorandum of Understanding Concerning Consultation and Cooperation and the Exchange of Information (“MMOU”) (“IOSCO MMOU”); (b) being a regulator of any
on the list of Signatory A of the Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information (“MMOU”) (“IOSCO MMOU”); (b) being a regulator of any
lender or its agent , do so with an understanding that such borrowing or lending is made in accordance with any of the following purposes: (1) to enable the borrower or other persons to deliver securities
directors and persons with power of management , without conflict of interest which may cause the lack of independency in proceeding mutual fund rating, and is capable of operating the work impartially and
Organization of Securities Commissions (IOSCO) and has already signed as a signatory A of the Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information
shall render the company is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the
criteria: (1) being capable of operating investment management business legally under the law of the jurisdiction where such foreign person operates business; (2) being under the supervision of any of the
System and Personnel _____________________________ Clause 11 An intermediary shall equip management structure, operating system and personnel appropriately and sufficiently in order to be capable to
Establishment of Risk Management System for Business Continuity of Intermediaries dated 21 October 2016 (“ Notification No. SorThor/Nor. 45/2559 ”) which specify on the rules for operation systems capable to