Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an operating system which
is an affiliated company ; (3) internal audit only if the outsource operator is an affiliated company or audit firm; (4) compliance function only if the outsource operator is an affiliated company ; (5
) risk management only if the outsource operator is an affiliated company; (3) internal audit only if the outsource operator is an affiliated company or audit firm; (4) compliance function only if the
account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of Business , the intermediary shall arrange such agreement in compliance with the
trading account, a contract or any other agreement, in accordance with Clause 44 of the Notification on Standard Conduct of Business, the intermediary shall arrange such agreement in compliance with the
department director to the manager; “department director” means any person who is responsible for the internal operation of a department in the company; “manager” means a person appointed by the board of
, operational management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives
management, compliance and internal control. Clause 4 The derivatives dealer shall provide a system for recording and keeping information to ensure that the information pertaining to the derivatives business