/esubmission_report_list_phase2.xlsx QAQR-04.xlsx assurance that it is not continuing a relationship, which should be discontinued. 8 Does the firm have any particularly risky clients or risky industry? - Finance and Securities
the relevant regulation*. The SEC is also proposing to stipulate a minimum Authentication Assurance Level (AAL) for clients’ online transactions via the company’s system based on associated risks
Rules on Entering into Material Transactions Deemed as Acquisition or Disposal of Assets
Rules, Conditions and Procedures for Approval Concerning Registration of Client’s Assets (No. 2)
Custody of Assets of Clients by Licensed Derivatives Brokers (No. 3)
Registration of Pool of Assets as Mutual Fund and Amendment to Registered Particular (No. 2)
Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Rules for Custody of Customer Assets and Essential Details of Custody Agreement