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
and expanding capacity to support possible increase in trading volume in the future, provided that the rules and guidelines for prioritizing and matching trading orders are disclosed; (2) procure an
manner to allow members and involved persons to be well informed of possible effects and risks from the operation of the business; Part 3 Subject Matters of this Notification Clause 4 This Notification
2.1.3 inappropriate/insufficient disclosure of information (paragraph........). ฆ 2.2 Inability to obtain sufficient appropriate audit evidence and the possible effects are material, but not pervasive
adequate manner to allow members and involved persons to be well informed of possible effects and risks from the operation of the business; (6) for central securities depositories, systems and rules with
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
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