-money laundering legislations” means all legislations in relation to anti-money laundering, including ministerial regulations, notifications, rules, regulations, and other subsidiary legislations; (7
is used? 6 Does the firm have job evaluation forms or criteria specific for each staff level? Please provide us evaluation forms of all staff levels. 7 Does the firm determine KPIs in job description
Private Fund Custodian and certify that the contents contained in the application for approval and supporting documents attached hereto this application are all true and correct. Signature
) …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. The company has already examined the curriculum vitae of the persons above, O thereby certifies that the persons applied for approval to be executives possess all qualifications without any prohibited
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The
under this Act. SECTION 6 All rules, regulations, notifications, directives or stipulations issued under this Act by the SEC or the SEC Office which are of general application shall come into force upon
procedures by meeting the following criteria: (1) educate all employees and contractors on IT security policy relevant to their job function; (2) communicate to the employees and contractors that they should
responsibility in managing the company, regardless of the job title; (7) “Management Company” means the property fund management company; (8) “Company” means any limited company or public limited company and shall
the company, regardless of the job title; (8) “Fund Manager” means fund manager approved by the Office of the Securities and Exchange Commission according to the notification of the SEC Office governing