role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
; (c) to assess suitability for providing services to the service user; (d) to consider the ability of the service user to comply with the agreement for service provision. The operation under Paragraph 1
Preparation of Prospectus Objective A management company shall assess the capability and be prudent in an establishment of a fund in order to ensure that such establishment has been done in accordance with the
related receipt and payment transactions, and the accounting records practice. The company was also required to examine the issue raised by the auditor whether the questionable transactions of land sales
impairment loss for goodwill and for those investments in subsidiaries, (2) to assess the impairment loss for other assets, apart from goodwill in the consolidated financial statements, such as property, plant
for the Office or investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under
type of the risky or complex capital market products for the first time, an intermediary shall examine the client’s investment knowledge in order to assess suitability before investing in or entering
procedure for communication and providing services, namely: (a) compiling and assessing information of clients to get to know clients and assess the suitability of their investments or transactions; (b