, inappropriateness, or deficiencies in performing the duties. FAs may resort to information from a specialist, having verified that the person is truly knowledgeable and competent in that field. FAs shall have a
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
) allocate sufficient resources and budget to persons who relate to any operation in compliance with such policy and plan; (2) provide a measure to control and monitor operation under such policy and plan
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
approved by its board of directors. UNOFFICIAL TRANSLATION Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
continuity management that is approved by its board of directors. Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to
), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to