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

Organization of Securities Commissions (IOSCO) and has already signed as a signatory A of the Multilateral Memorandum of Understanding concerning Consultation and Cooperation and the Exchange of Information

in compliance with such rules. (2) consent of the service provider for the SEC Office to inspect its operation, retrieve for viewing or examine relevant evidentiary documentation; (3) causes

aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2) Authorises the head of operational and business unit to monitor and

company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer

analyze the investment in securities and Category B Investor Contact who is not authorized to analyze the investment in securities; “analysis of investment in securities” means an analysis of various data

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

document and evidence, including considering of investment objective of the customer, knowledge, understanding and experience in derivatives trading, financial condition, and debt repayment capability of

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