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 |