company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give
ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give accurate and suitable investment
ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give accurate and suitable investment
Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well
Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well as the
Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well as the
process, incentives or rewards to employees with good performance, and management measures for employees who do not achieve the targets. Such processes are well informed to executives and employees. 4.3 The
material environmental issues as well as material challenges for its sector, namely: atmospheric emissions and energy consumption. The KPIs are measurable, externally verifiable and are able to be
clients. 23The securities company must perform know your client (KYC) procedure continuously. This can be done by keeping client’s information, beneficial owner and controlling person up-to-date, as well as
and controlling person up-to-date, as well as revise the ability to pay debt and total exposure of each client on a regular basis. 24 The securities company must retain the related documentary evidence