intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
, soliciting, giving advice and preparing investment plan or analyzing securities investment for investors, the investor contact shall not delegate other persons to act or perform duties on his behalf. Clause 11
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets . At least, there shall be a separation of personnel responsible for
) or giving advice on securities trading and shall put in place a good internal control system for custody of clients’ assets. At least, there shall be a separation of personnel responsible for preparing
be construed as constituting legal, business, tax or financial advice. This material contains “forward-looking” statements that relate to future events, which are, by their nature, subject to
the wealth management business and through the commercial banking business distribution channels to increase fee income and assets under advice. The area of Investment Banking will combine the expertise
market group’s expertise in the wealth management business and through the commercial banking business distribution channels to increase fee income and assets under advice. The area of Investment Banking
, nothing in this document should be construed as constituting legal, business, tax or financial advice. This material contains “forward-looking” statements that relate to future events, which are, by their