identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices

Office. Clause 10. The securities companies are allowed to upgrade its online branch office to full-service branch office provided that on the date the securities company upgrades its branch, it meets the

the date the branch office starts its operation in accordance with the format set out in an electronic system of the Office. Clause 10. The derivatives brokers are allowed to upgrade its online branch

availability of engagement partners and audit staff? If yes, please describe 2 Do the identity and role of the engagement partner are communicated to key members of client management and those charged with

position; (6) Fees charged on the derivatives transaction. Clause 4. Derivatives broker must show in the evidence of margin call at least the information as set out under Clause 3(1) and (3) as well as the

case file and all relevant documents to the Office for filing. Chapter VII Arbitrator’s Fee and Other Expenses ________________________ Clause 32. The arbitrator’s fee shall be charged at a rate of two

charged on the derivatives transaction. Clause 4 A derivatives broker shall at the minimum include the information as set out under Clause 3(1) and (3) as well as the following information on the evidence

product in support of their investment decision making; (3) To disclose the fees charged to the clients by the intermediary . Clause 8 In case of providing services to clients who are subject to the

investment decision making; (3) To disclose the fees charged to the clients by the intermediary . Clause 8 3 Repealed. Chapter 2 Specific Provisions related to Providing Services of Inbound Products Which Are

laws are domestic legislations or foreign legislations, : O Yes (please specify) For example, the date of accusation or prosecution ………………………. Being accused or charged of.………………………...………… Under law