same standard, the Office lays down a guideline for the management company to arrange to have operating systems for appropriate management of fund. Where the management company has arranged to have an

time objectives) and set a recovery order of every critical business function suitable for possible impacts. 4.2 Companies should consider to determine a data class and latest data set to recover

) “ analysis of securities investment ” means an analysis of data relating to securities , for the purpose of giving advice or publishing , whether directly or indirectly, on the value of securities or

Office governing rules, conditions and procedures for handling customers’ assets deposited with the custodian; 4. The person whom the applicant will appoint as a custody agent shall be any of the following

., computers, equipment, data recorders, and other equipment; (3) information assets, i.e., information, electronic data, and computer data; “ critical IT assets ” means the IT assets that are related to or

selling of any securities ; (10) “ analysis of securities investment ” means an analysis of various data relating to securities to be used in advising or disseminating, whether directly or indirectly, the

: (1) arrange to have a unit or personnel to be responsible for receiving and handling the customer complaint; (2) arrange to have regulation in writing which establishes procedures for receiving and

the stored things in respect of client ’s private data, and unrevealed or non-public information; (3) appointing a responsible person who has duty to undertake and be liable for arranging and keeping

make the public misunderstand in its condition, operation or service. Any advertisement referring to number, data or statistical report shall specify the source of such number, data or statistical report

custodian agent can perform its duties as designated in accordance with the Notification of the Office Re: Rules, Conditions and Procedures on Handling of Customer’s Assets Deposited with Custodian. Clause 3