Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
services in the particular circumstances This checklist reviews such policies and procedures of the firm. Sr. Particulars Reference /Guidance Notes Description A Client Acceptance: 1 Have there been any
. 5. In particular the disclosures should, with respect to conflicts of interest, address the priority given to client interests in decision-making; with respect to collective engagement, describe the
upon such information without appropriate professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data A catalogue record for this book is
rate, changes in the share of the business or financial indicator concerned, such as capacity or energy mix for utilities). 3-2 What level of granularity is expected with regards to the calculation
authorities. In particular, new emphasis is placed on the quality of supervision and enforcement. The chapter also includes a new principle on the role of stock markets in supporting good corporate governance
information without appropriate professional advice after a thorough examination of the particular situation. British Library Cataloguing in Publication Data A catalogue record for this book is available from
particular category of securities business, except for a security company operating securities business in the category of securities dealing or securities underwriting or operating securities business in any
particular time; (5) Investment in financial instruments/contracts which are legal under the concerned laws; (6) All expenses chargeable to the fund should serve the purpose of fund operation; (7) Every