documentation on an annual basis. 12 Has the firm developed or adopted other quality control materials? If “yes,” describe those materials: 28
units of the new mutual fund or the mutual fund which accepts the transfer of assets. Clause 3. All notifications of the Office of the Securities and Exchange Commission, orders and circular letters
The Office of the Securities and Exchange Commission (Unofficial Translation) PAGE The Office of the Securities and Exchange Commission 12 June 2007 To: Managers All securities companies Circular No
respective local market could apply for an expedited review process if it intends to invest in a master fund that meets the requirements set out in the SFC and SEC Circular (“MRF-eligible master fund
Covered Fund in Hong Kong satisfied those stipulated in Appendix B-II-SEC Circular of the Memorandum of Understanding between the Securities and Futures Commission of Hong Kong and the Securities and
information or system. Clause 7. The securities company must provide a controlling measure which is sufficient for the developed or modified application software to have a correct, and complete data processing
prescribed in the Derivatives Act B.E. 2546 (2003) including the Notifications and circular notices issued or laid down the guideline of implementation to such Act. (3) not being under restriction or
.. PAGE (UNOFFICIAL TRANSLATION) The Office of the Securities and Exchange Commission 12 June 2007 To Managers All securities companies Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for Renewal
person to access to the record. [M] Change Management. Objective . Change Management have an objective for rendering the developed or altered computer system having the correct and complete integrity which
with this Notification. Clause 14. All the Notifications, orders and circular letters, under Clause 1, issued under or providing guidelines for compliance with the Notification of the Securities and