of the Audit Firm Illustrate the management structure or function segregation, the names of directors, executives, or partners responsible for each function, as well as the names of the members of each
........................................ ...................................... ......................................... (Additional details can be submitted as attachments) 3. Internal Management of the Audit Firm Illustrate the management structure or function segregation, the names of directors, executives, or partners
company shall not delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function
delegate the function of advertising to a natural person appointed as an agent who sells or accepts redemption of investment units. Nevertheless, delegation is permitted for the function of disseminating or
.: __________________________ Part G: Delegation and Sub-delegation of Functions by Hong Kong Covered Management Company 21) Is any function of the Hong Kong Covered Management Company delegated (and sub-delegated) to other
21) Is any function of the Hong Kong Covered Management Company delegated (and sub- delegated) to other entity(-ies)? Yes No If “Yes”, please specify the function(s) delegated (and sub-delegated
fixed asset 5 sets of Spectrophotometer, 5 sets of Digital storage Oscilloscope and 1 set of function generator 6 years of lifetime and 5 of used years Transaction date February-March 2017 Transaction
related to back office function. Such keeping shall be readily available at any time for derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to
evidence related to back office function. Such keeping shall be readily available at any time for (Translation) -5- derivatives broker to examine or inspect promptly, and also for the Office and auditor of
trading order and the details related to derivatives trading transaction, and documents and evidence related to back office function. Such keeping shall be readily available at any time for (Translation) -5