of the repurchase transaction. (b) segregating under self-safekeeping which shall be done in the manner that can clearly identify without suspicion that such amount of money belongs to the client; (2
controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a
for risk controlling [M] o Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy o Identifying clearly the purpose and scope
law or investing in promissory note issued by a finance company or the TSFC Securities Limited, or other investment specified by the Office, which is clearly defined in such bank deposits or promissory
or the TSFC Securities Limited, or other investment specified by the Office, which is clearly defined in such bank deposits or promissory notes or investment that such transaction is done by securities
use to provide service and store document; (2) arrange to have a notice board, which can clearly be seen, indicating the nature of services to be provided on the area under (1). Clause 9. The branch
for the branch office to serve customers and to store documents separated from space that other people use to provide service and store document; (2) arrange to have a notice board, which can clearly be
matter, such appointment shall be made in writing or by clearly recorded resolution of the board of directors’ meeting. In this regard, the scope of authority of the appointee shall be clearly stated
engages in proprietary trading shall determine policies, rules and procedures for such matter in accordance with Clause 12(1) of the Notification on Standard Conduct of Business clearly in writing upon