appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
appropriate. For the authorization under the first paragraph, the person with the proceeding power shall monitor and supervise the person authorized to segregate and manage the client’s assets in compliance
to be less informative or even uninformative. However, there has been doubt about whether expanded audit reports with KAMs are really informative to investors. Contributions This study provided the
information related to the face-to-face contact shall be made available to the securities company upon request without delay. Clause 14. To facilitate the KYC/CDD process, securities company shall monitor
process, securities company shall monitor public and media releases as well as establish and maintain databases or put in place procedures so as to gain access to external databases on the following
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
taking into account the best interest of unit holders. In addition, the applicant shall comply at least with the following criteria: (1) no reasonable doubt of the applicant’s financial position which may
monitor, control, and manage risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of members to ensure efficient securities
avoidance of doubt, it is acknowledged that the definition of target population can vary depending on local contexts and that, in some cases, such target population(s) may also be served by addressing the
Management Policy Department if they are in doubt on any specific issues arising from the application/interpretation of the matters relating to the HK-TH MRF or the abovementioned feeder funds. The information