include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for
capability and readiness to provide service and comply with rules prescribed by the SEC or of the Office and guidelines specified by derivatives broker. Such guideline shall at least include, internal control
guideline shall at least include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well
auditor in the capital market shall file an application for approval with the SEC Office as per Form 61-1 which is available on the website of the SEC Office, together with the following documents and
), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to
(Chinese Wall), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8
keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to client’s assets, as well as related information and documents
/2547 Re: Application Form for Approval of Private Fund Custodian and Supporting Documents By virtue of Clause 8 and the second paragraph of Clause 11 of the Notification of the Securities and Exchange
dated April 9, 2015. 12.3 The SEC Office begins the period of time for considering the application for approval from the date on which the SEC official has received the required documents in full