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 may cause: (a

related to back office function. Such keeping shall be readily available at any time for derivatives broker to examine or inspect promptly, and also for the Office and auditor of derivatives broker to

readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with

security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid

against any employee who has committed an IT security breach. Chapter 3 Management of IT Assets and Access Control _______________________ Clause 14 In managing IT assets and assess control of data and

) to categorize the service user; (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

examining that have compliance under system development and examine prior to transfer for operating in real condition. [A] 2.4 Transfer for operating in real condition · Inspect the transfer of operation

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 relevant laws and related

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 warnings and recommendation

cases where a client wishes to use services relating to each type of the risky or complex capital market products for the first time, an intermediary shall examine the client’s investment knowledge in