Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7. Computer
Printable Format - Laws and Regulations Guideline on the commencement for operation of securities / derivatives business
Rules, Conditions and Procedures for Controlling Operation of Securities Underwriting (No. 3)
Work System, Contact with Investors and General Business Operation of Trustees
Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories
Rules, Conditions and Procedures for Outsourcing Function related to Business Operation to Third Party
business operators default on cash settlement or physical delivery with the derivatives clearing house or their clients in case of derivatives business operators, unless such default is not caused by
9(1) by taking into consideration: (1) establishment of appropriate physical information security measures which are prudently sufficient to the scope of operation in the teleworking site; (2
cessation of offerings; (b) Consequences of the cessation of offerings and their effects on existing investors; (c) Any proposed changes in the operation of the Hong Kong Covered Fund and their effects on