Record of the policies, Regulations and internal charters applicable to the company.

BOD Approval & Record logs update Date

Certified Record Log no.

Policies & Procedures

Sr.

18/06/2023

10/2023

Risk Management Policy & Procedures

1

18/06/2023

10/2023

Anti-Money Laundering & Combating Financing of Terrorism Policy & Procedures

2

18/06/2023

10/2023

Compliance Policy & Procedures

3

18/06/2023

10/2023

Standards of Professional conduct Policy & Procedures

4

18/06/2023

10/2023

Prevention of Leakage of Information Policy & Procedures

5

18/06/2023

10/2023

Related Parties Policy & Procedures

6

18/06/2023

10/2023

Supervisory Systems & Internal Control Programs Policy & Procedures

7

18/06/2023

10/2023

Human Resources ,Training & Development Policy & procedures

8

18/06/2023

10/2023

Policy & Procedures of Adherence Fit & Proper Requirements  

9

18/06/2023

10/2023

Policies & Procedures of Dealing with Clients’ & Investors’ Complaints

10

18/06/2023

10/2023

Executing & Managing Business Operations of the licensed activities & Clients’ Relations Policies & Procedures

11

18/06/2023

10/2023

Emergency plans & Ensuring Business Continuity Policies & Procedures

12

18/06/2023

10/2023

Protection of whistleblowers in respect of any unlawful practice of the Licensed Person Policy & Procedures

13

18/06/2023

10/2023

Financial Control Policy

14

18/06/2023

10/2023

FATCA Policy & Procedures (Foreign Account Tax Compliance Act.

15

18/06/2023

10/2023

Profit Distribution Policy & Procedures

16

18/06/2023

10/2023

Policies & Procedures Capital Adequacy Regulations

17

18/06/2023

10/2023

Conflict of Interests Policy & Procedures

18

18/06/2023

10/2023

Real Estate Investment Policy & procedures

19

18/06/2023

10/2023

CRS Policy & Procedures

20

18/06/2023

10/2023

Disclosure & Transparency Policy & Procedures

21

18/06/2023

10/2023

Governance Policy & Procedures

22

18/06/2023

10/2023

Bad Debit Policy & Procedures

23

18/06/2023

10/2023

Policy on protecting rights of Share Holders & Stake Holders

24

18/06/2023

10/2023

Subsidiary Manual Policies & Procedures

25

18/06/2023

10/2023

Archiving Policy for Company & Clients

26

18/06/2023

10/2023

Nomination & Remuneration Policies & Procedures

27

18/06/2023

10/2023

Recruitment Policy for Licensed Position.

28

18/06/2023

10/2023

Corporate Social Responsibility

29

18/06/2023

10/2023

Stakeholder Policy

30

18/06/2023

10/2023

Chinese Wall

31