limit of their clients, the intermediaries shall comply with those Notifications as well. Clause 9 In revising and updating client information within a reasonable period of time under Clause 37 of the
trading of the service offering system and in case of providing services of the system for matching trading orders, the information on the ranking and matching of trading orders shall be disclosed as well
providing services of the system for matching trading orders, the information on the ranking and matching of trading orders shall be disclosed as well; (c) types of derivatives eligible for trading in the
) System to prevent damages to private fund assets, as well as related information and documents, and controlling system for acquisition and disposition of private fund assets; (c) System for verification
its client’s assets; (b) System to prevent damages to private fund assets, as well as related information and documents, and controlling system for acquisition and disposition of private fund assets; (c
branch office of a management company as well as the rules in relation to providing services outside the premises of the branch office and outside prescribed office hours.
Exchange Commission Remark: The rationale for issuing this notification is as follows: to clearly prescribe criteria for permission to establish a branch office of a management company as well as the rules
. 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