compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in
to monitor the situation closely in order to conduct the appropriate measures. For more details, please see section “COVID-19: Impacts and Response Plan” 1Q 2020 PERFORMANCE 1Q 2020 P&L SNAPSHOT AND
. In the case where the Office requests the management company to explain or to provide additional documents within a specified period, if the management company does not comply nor proceed within the
company in writing that the Office has received complete documents. In the case where the Office requests the management company to explain or to provide additional documents within a specified period, if
be property fund manager requests for the letter showing the result of the renewal application referred in the second paragraph, such person shall submit the request form as prescribed in the Office’s
renewal to be listed in the register of person qualified to be property fund manager requests for the letter showing the result of the renewal application referred in the second paragraph, such person shall
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
sometime, it shall control strictly namely determine the computer centre officer monitor the compliance all the time. [M] · Providing record system for entering the computer centre and such record shall