, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example
; “ capital market product having high-risk or complex characteristics ”5 means the following capital market products: (1) investment units having high-risk or complex characteristics including: (a) investment
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11 . Securities
, conflagration, storm or epidemics. 9.5 Human-caused disaster, such as, terrorist, being caught as hostage or cyber attack. BCI Good practice guidelines http://www.thebci.org/ High-level principles for business
categorized type of the client , the intermediary shall notify the client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing
likelihood or frequency of incidents and significant or potential impacts in order to prioritizing the management of information technology risk; (3) establishment of tools and measures for managing risk level
means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or
client to acknowledge the result of the client ’s categorization, rights, restrictions and risk level, including right to request for changing categorization to be treated as retail investor. Clause 34 For
acceptable level on a continued basis by clarifying significant risks. In this regard, the Company may disclose the full version of the policy, operational framework and risk management plan on the Company’s