) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
incident, but no longer than ninety days from the day that serious incident takes place. An investigation report under subclause (2) shall contain a detailed explanation of the serious incident, its effects
) the applicant shall put in place systems of work that are equipped to accommodate the procedures for issuing depositary receipts and the undertaking under the commitments in the depositary agreement
transaction that takes place on the derivatives exchange. The derivatives clearing house or any involved person may not cancel, amend, or change a trading transaction unless otherwise specified by any rule or
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