unit and personnel responsible for securities dealing (front office) from work unit and personnel responsible for post-trade operation (back office). And shall arrange for the personnel responsible for
responsible for securities dealing (front office) from work unit and personnel responsible for post-trade operation (back office). And shall arrange for the personnel responsible for securities dealing to
personnel responsible for post-trade operation (back office). And shall arrange for the personnel responsible for securities dealing to submit a report of securities dealing to work unit responsible for post
professional to conform to investors’ trust, the derivatives fund manager shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to respective work units; supervision of its
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
(12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with relevant
intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with relevant regulators in utterly cooperative way
accordance with the category or characteristic as notified by the Office. Clause 3. The business operator, whether acting as the borrower or its agent, shall not borrow or arrange to borrowing for the purpose