the redemption price to the client ; (4) examine and supervise the employee responsible for the said duties to provide true and accurate information to the client . Clause 18 In considering a
hours of the securities company. (2) publicize or disseminate the information on the implementation under (1) to the client; (3) disclose the redemption price to the client; (4) examine and supervise the
may hold at any time. In consideration of pledging and debt repayment capability of the customer in the first paragraph, derivatives broker shall be prepared prudently and carefully by examine the
pledging and debt repayment capability of the customer in the first paragraph, derivatives broker shall be prepared prudently and carefully by examine the financial condition, source of income and property
related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the
monitor and examine post- trading activities (audit trail); (5) having a work system for enhancing and protecting the orderly operating mechanism of the trading system; (6) arranging disclosure of
documents as prescribed by the SEC. In this regard, the applicant may examine the list of the required documents for the SEC’s consideration in Form 35 – HK-TH MRF: Checklist for Mutual Recognition of Funds
, in addition to the action under the first paragraph, the mutual fund management company shall arrange for the mutual fund supervisor to examine and certify in writing that such transaction is in
appeal consideration shall examine an appeal. If [the department in charge of appeal consideration] considers that the appeal does not contain particular under Clause 20, it shall propose to the Secretary