as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
as to ensure that such complaint is handled within an appropriate period and following the procedures and means as determined in sub-clause (2); Clause 3 A derivatives broker shall proceed with a
on an ongoing basis or what process taken to reduce that risk. 9 How is client continuance dealt with in the cases of proposed or ongoing litigation? 10 Has the firm been in any tender process
to support such policy? 3. Has the company's inspection ever revealed dishonest acts of its employees or executives? If so, how has the company dealt with such cases? And what are the company's
to support such policy? 3. Has the company's inspection ever revealed dishonest acts of its employees or executives? If so, how has the company dealt with such cases? And what are the company's
planning to ensure sufficient workforce that could cope with the expected workload of the firms. However, some audit firms dealt with this problem by seeking to draw in high-potential individuals, especially
management have handled the situation prudently and carefully. We have been focusing mainly on the financial health of the company including managing fixed and variable cost as well as liquidity management
matter. Section 13.2 The fund shall be managed by a person who is not the employer and is licensed to operate securities business in the category of private fund management under the law governing
The fund shall be managed by a person who is not the employer and is licensed to operate securities business in the category of private fund management under the law governing securities and exchange