establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent

with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23

with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of Clause 23

be prepared and submitted to the chief executive officer of the intermediary; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall

be prepared and submitted to the chief executive officer of the intermediary; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall

damage, [ii] other circumstances indicating that the applicant is facing financial distress, or [iii] reasonable grounds to believe that the applicant has any deficiency or inappropriateness in operational

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities

operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities

of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5. 5 Derivatives broker shall

of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control --------------------------------------- Clause 5.5 Derivatives broker shall