Legal Notes PT Credit Suisse Sekuritas Indonesia

PT Credit Suisse Sekuritas Indonesia

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General Information

PT Credit Suisse Sekuritas Indonesia
Gedung Sampoerna Strategic Square
South Tower, 23rd floor
Jalan Jenderal Sudirman Kav.45
Jakarta 12930

Phone : +6221 25537900
Fax : +6221 25537990

Decree of the Chairman of Capital Market Supervisory Agency Number:
KEP-04/PM/PEE/2002
 

6 February 1997    

Established footprint in Indonesia by obtaining license as Representative Office

31 May 2002

Established local entity PT Credit Suisse First Boston Indonesia

2 September 2002

Obtained Underwriting License from Bapepam-LK

12 December 2005

Change name to PT Credit Suisse Securities Indonesia

3 October 2007

Obtained membership from the Indonesia Stock Exchange

31 January 2017

Change name to PT Credit Suisse Sekuritas Indonesia

Board of Directors

Licensed Individuals

Record As of 31 July 2023

Department Licensed Person
Directors 3
Sales and Dealing 5
Risk Management 1
Finance and Accounting 1
Operations 2
Information Technology 0
Compliance 1
Research 5
Investment Banking 2

Information for Customer

Periodical Financial Statement PDF
The Latest General Meeting of Shareholders Resolution PDF
Customers' Complaint Service General Number 25537900

Compliant Handling Publication

OJK Compliant Handling Report – Q1 XLS
OJK Compliant Handling Report – Q2 XLS
OJK Compliant Handling Report – Q3 XLS
OJK Compliant Handling Report – Q4 XLS

Governance Standard

Code of Conduct
Function and Policy on Risk Management

The Risk function acts as guardian of the bank's risk appetite and provides effective and independent risk oversight:

  • Challenge and proactively engage with the business in shaping its risk profile, strengthening the first Line of Defense (LoD) and aligning its strategy execution with shareholders' and regulatory requirements
  • Maintain a comprehensive bank-wide risk appetite framework and run well-controlled risk processes ensuring an effective bank-wide second LoD
  • Position Risk function as competent, reliable and, where appropriate, challenging counterpart vis-à-vis regulatory authorities globally
  • Provide stakeholders with transparency on all risk-related matters and ensure timely assessment and escalation
  • Continuously strengthen the Risk function by attracting, developing and retaining top talents and foster continuous learning throughout the organization
  • Drive the continuous enhancement and efficiency improvement of risk-related systems and infrastructure
     
Function and Policy on Compliance

Chief Compliance Officer is responsible for providing independent oversight and control over the compliance and regulatory risks relating to the APAC division. The CCRO is granted the necessary independence, authority and resources to executive its duties without undue influence or obstacles, and the appropriate access to management to escalate issues, as needed. The CCRO's mandate is to monitor APAC's business activities on all levels based on regular and ad-hoc Compliance risk assessments so to minimize potential risks to CS's reputation and the violation of laws or regulations. APAC CCRO has delegated authority from the Group Chief Compliance and Regulatory Affairs Officer to independently execute its mandate, as a 2nd line of defense 'control' function.

Sustainability Report / Laporan Berkelanjutan
Announcement Company's intention to return to the Financial Services Authority ("OJK") the Company's business license

English

Following the acquisition of Credit Suisse Group AG by UBS Group AG in June 2023, and referring to Law No. 4 of 2023 on Development and Strengthening of Financial Sector ("P2SK Law"), which among others amended Law No. 8 of 1995 on Capital Market ("Capital Market Law") that stipulates any party is prohibited from owning shares and/or exercising control over more than one securities company, either directly or indirectly, except for shares ownership or capital participation by the government, we hereby announce to all PT Credit Suisse Sekuritas Indonesia’s (“Company”) customers that the Company intend to return to the Financial Services Authority (“OJK”) the Company’s business license as Securities Underwriter that also covers the license as Securities Broker, and the Approval to Perform Other Activities of Securities Underwriter in the form of Support and Referral Services to Global Affiliated Companies.

    

In relation to such plan, should the Company’s customers have any queries about the settlement of outstanding rights and obligations (if any) under the applicable terms and conditions under the relevant contracts and the prevailing laws and regulations please contact the Company within 5 business days from the date of this announcement.

    

Jakarta, November 15, 2023

The Board of Directors of PT Credit Suisse Sekuritas Indonesia.

    

PT Credit Suisse Sekuritas Indonesia

Gedung Sampoerna Strategic Square

South Tower, 23rd floor

Jalan Jenderal Sudirman Kav.45

Jakarta 12930

    

Phone : +6221 25537900

Fax : +6221 25537990

    

    

Indonesian

Setelah berlangsungnya akuisisi Credit Suisse Group AG oleh UBS Group AG di Juni 2023, dan merujuk kepada Undang-Undang No. 4 Tahun 2023 tentang Pengembangan dan Penguatan Sektor Keuangan ("UU P2SK") yang antara lain mengubah Undang-Undang No. 8 Tahun 1995 tentang Pasar Modal ("UU Pasar Modal") yang mengatur bahwa setiap pihak dilarang memiliki saham dan/atau melakukan pengendalian di lebih dari satu perusahaan efek, baik secara langsung maupun tidak langsung, kecuali untuk kepemilikan saham atau penyertaan modal pemerintah, dengan ini kami umumkan kepada seluruh nasabah bahwa PT Credit Suisse Sekuritas Indonesia (“Perusahaan”) bahwa Perusahaan bermaksud untuk mengembalikan kepada Otoritas Jasa Keuangan (“OJK”) izin usaha Perusahaan sebagai Penjamin Emisi Efek yang berlaku juga sebagai izin usaha sebagai Perantara Pedagang Efek, dan Persetujuan Kegiatan Lain Penjamin Emisi Efek Dalam Bentuk Penyediaan Layanan Dukungan dan Referensi kepada Perusahaan Afiliasi Global.

    

Sehubungan dengan rencana tersebut, apabila para nasabah Perusahaan membutuhkan penjelasan lebih lanjut mengenai penyelesaian hak dan kewajiban yang belum terselesaikan (apabila ada) berdasarkan syarat dan ketentuan kontrak serta peraturan perundang-undangan yang berlaku mohon hubungi Perusahaan dalam 5 hari kerja sejak tanggal pengumuman ini.

    

Jakarta, 15 November 2023

Direksi PT Credit Suisse Sekuritas Indonesia

    

PT Credit Suisse Sekuritas Indonesia

Gedung Sampoerna Strategic Square

South Tower, 23rd floor

Jalan Jenderal Sudirman Kav.45

Jakarta 12930

    

Phone : +6221 25537900

Fax : +6221 25537990