performance of duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to contact, solicit or advise their customers, the Office
will not only benefit investor contacts in their performance of duties but also provide investors with better quality services. In cases where securities companies assign their investor contacts to
the ultimate shareholder(s) delegate or assign their authorization to the CFO? B4 How does the firm design its organizational structure that promotes quality, tranparency, and acting in the best
time, the securities company may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the securities company
time, the securities company may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the securities company
paragraph, the securities company shall arrange to have a new manager within one month unless obtain a waiver from the Office. In the mean time, the securities company may assign an officer of the head office
mean time, the derivatives brokers may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives
mean time, the derivatives brokers may assign an officer of the head office or the manager of other full- service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives
within one month unless obtain a waiver from the Office. In the mean time, the derivatives brokers may assign an officer of the head office or the manager of other full- service branch offices to temporary
, the Board of Directors and Audit Committee has agreed that it is reasonable to assign MTC to manage this amount of money as they are potential to implement the effective cash management right their