as having measures for emergency matters whereby procedures and responsible persons should be clearly prescribed; (3) Having staffs with approvals from the Office to contact, solicit or advise clients
each departments and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4 . Derivatives broker who wishes to use back
and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4. Derivatives broker who wishes to use back office service from
Chinese Wall among each departments and staffs as well as having measures for emergency cases whereby procedures and responsible persons should be clearly prescribed. Clause 4. Derivatives broker who wishes
person assigned by the board of directors of the securities company to be ultimately responsible for the management of the securities company regardless of what the title may be; “person with power of
directors of the securities company to be ultimately responsible for the management of the securities company regardless of what the title may be; “person with power of management” means a deputy manager, an
; “manager” means any person assigned by the board of directors of the securities company to be ultimately responsible for the management of the securities company regardless of what the title may be; “person
relevant parties and personnel responsible for the communications under Clause 6(3). Clause 8. If critical functions are outsourced to service providers, the securities company shall ensure that the business
personnel in charge of operations under Clause 6(2) and of the relevant parties and personnel responsible for the communications under Clause 6(3). Clause 8. If critical functions are outsourced to service