Misuse of Client’s Assets Custodian shall put in place at least the following operation procedures and practices which can prevent the misuse of client’s assets: 1. Operation manual on the payment made
. Clause 4 In undertaking custody of assets of clients , a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under
custody of assets of clients, a derivatives broker shall put in place systems as well as rules or procedures for custody of assets of clients to ensure that the client assets under its custody are secured
case the securities underwriter performs duty as market maker for an ETF fund, providing that such securities underwriter has put in place a system for prevention of conflicts of interest under the
securities underwriter has put in place a system for prevention of conflicts of interest under the Notification of the Office of the Securities and Exchange Commission governing providing of work systems for
; (5) purchase for its own proprietary portfolio in which case the securities underwriter performs duty as market maker for an ETF fund, providing that such securities underwriter has put in place a
) 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
) 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