between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary

the securities company under the first paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital

paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital. Clause 6 In the event that, prior to the

paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital. Clause 6 In the event that, prior to the

necessary documents in support of the application for approval of establishment of a feeder fund, in line with the normal practice. The SEC will not proceed with the application if no SFC Eligibility

audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the

audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the

audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the

photocopies of the concerned documents shall be attached

shall be specified the concerned provisions of law or rule, and the photocopies of the concerned documents shall be attached