securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable standard. Such units shall undertake independent
, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable
method of inspection on validity of such contract, etc.; (g) practice on internal inspection and control, performance inspection and hierachical risk report to the executive; (h) appropriate and reliable
) appropriate and reliable system for recording information and hierarchical information report to the executive; (i) procedure and method for controlling and monitoring the performance under the prescribed
opinions and information contained herein have been obtained or derived from sources believed to be reliable, but Research Department cannot guarantee its accuracy and completeness, and that of the opinions
again played a critical role in supporting the economy during times of stress, particularly, in acting as a reliable source of funding for businesses and governments. Flexible capital market policies and
rules governing dispute settlement between retail investors and intermediaries to adjust the arbitration process in line with the current economic environment, international standards and relevant laws
, roles, authority and responsibility of directors, executives and other personnel of the intermediary clearly. (3) having appropriate, reliable and efficient operating system to support an intermediary ’s
appropriate, reliable and efficient operating system to support an intermediary’s business continuously in order that [i] the intermediary would be able to provide services for the best interests of a client