accordance with the second paragraph shall be completed within three months from the end of each accounting period. For each financial year, such preparation shall be completed within twenty-one days from the

persons shall be assigned to be responsible for the entire process of work in such a manner that may give him an opportunity to commit frauds. Clause 11 A securities company shall provide a sufficient

balance among personnel of such units. By at least not entrust any person to perform the duties throughout the entire operation process as it may lead to corruption. Clause 8. A securities company shall

the financial statements for the first six months of the financial year shall be completed within three months from the end of each accounting period, while the financial statements for each financial

impact on the clearing system. Please be informed that the SEC Office has now completed the One-For-All- Reporting System (OFAR) as a new channel for submitting the daily status report in replacement of

Home Jurisdiction: ___________________________________________________________ [ ] 1. Form 69 – CIS full ( completed by Qualifying CIS Operator ) [ ] 2.* Standard letter issued by the Home Regulator to a

unitholders on the dissolution date of the mutual fund. Once such process has been carried out, the liquidation shall be deemed to be completed. In distributing money to the unitholders according to the first

, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5

of the SEC Office □ Supporting document items are completed. □ Supporting documents items are not completed, and shall request for additional supplementary document as follows; 1

transactions executed on behalf of the customer from the time when the order is taken until the transaction is completed; (2) evidence confirming derivatives trading transaction conducted by the customer