the current one. - in case of acquiring assets, clarify the types of assets and the approximate spending amount. - in case of investing in a business, clarify the nature of the business to be invested

nature, size, and complexity of business of the company. Guidelines 1. There should be an organisational chart demonstrating units and lines of command for personnel in the organisation to be informed of

include such money in the net balance of the working day on which it is informed of the client’s intention for the calculation of assets required to be segregated as assets of clients under the first

affect the conformance of such policy, the board of directors of the intermediary shall be informed without delay. Additional Guidelines 5. In complying with Clause 6(4), the intermediary should undertake

sufficient information to make an informed investment decision. Clause 21 Provided that one of the following conditions applies, the Office may opt to exempt the application of any rules under this