Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and

The securities companies and derivatives brokers are presently required to maintain net capital (NC) in a specified amount in order to sufficiently cover risks from conducting business. However

financial difficulty and unable to maintain adequate net capital as prescribed. The revised rules include rectification period, restriction of business operations during rectification period and undertakings

investment advisory company, failed to comply with the rules, conditions and procedures as specified in the notification by failing to maintain capital adequacy in accordance with the rules, conditions and

of the accounts. The requirements aim to better reflect actual financial status and debt repayment capability of every client thereby enhancing securities companies? risk management and thus preserve

. The Smart Office uses less paper to preserve natural resources. This not only streamlines working procedures, both ours and stakeholders?, but also expedites service provision and enhances overall

has to be maintained to ensure continuity of business operations.To cover potential liability risks arising from professional negligence, asset management companies are required to maintain

which are fixed income funds making daily redemptions and same-day settlements or settlements on the next business day. It is therefore crucial that they maintain adequate liquidity to respond to

. That is, the securities broker failed to Inefficient management and management of liquidity risks. (2) failed to maintain the net capital (“NC”) in accordance with the rules, conditions and procedures

bid to promote and maintain the readiness of important systems of derivatives clearing houses so that they can operate continuously; (5) disclosure of information in a clear, transparent, and adequate