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Securities and Exchange Commission

New Rules and Sundry Amendments to the Rules and Regulations of the Commission New Rules and Amendments as at 22 November 2017 - BATCH A

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Author
Securities and Exchange Commission
Year
2017
Pages
20 pages

This instrument introduces an asset manager code of professional conduct and makes sundry amendments concerning client protection, investment suitability, trading practices, compliance systems, professional registration, conflicts of interest, trading in unlisted and debt securities, self-regulatory organization membership, depository receipt approvals, custodian independence, registration fees, and…

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