Segregation and Management of Client’s Assets In Case of Intermediary Being under Receivership by Court Order
Rules for Being Settlor and Trustee of Real Estate Investment Trust (Codified)
business continuity management (2) Division 2 Board of directors and senior management responsibility (3) Division 3 Impacts of emergency incidents which may cause major operational disruptions (4) Division
emergency incidents which may cause major operational disruptions Examples of emergency incidents are classified into a group for clearness and being a guideline for intermediaries for analysing possible
appraisal, including operational system to ensure that it would be able to comply with standards and ethics regarding appraisal profession for widely used appraisal; Having experience in appraisal services
Prescribing Natures of Giving Advice to Public Not Being Regarded as Engagement in the Securities Business of Investment Advisory Service
framework with the belief that the business sector being driven by the framework of the guiding principles will be strengthened in the management of operational risk. More importantly, the operations of
operational systems for this purpose, the revised regulations will come into force as from 16 February 2024. ______________________________Remarks: * Means (1) a securities firm licensed to undertake the
operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2