capital market products ; (4) considering ability of the client to perform in respect of servicing agreement. In case of provident fund as the client , the intermediary only assesses suitability as
investment objectives, the level of knowledge, understanding, and experience in derivatives trading, the financial status, and the repayment ability of each client. In performing the duty in accordance with
employing knowledge and ability as a professional under different situation, being independent in making investment decision and having diversified investment in order to reduce investment risk, etc. (2) The
) categorizing type of the client ; (3) assessing suitability for investment in or entering into a transaction of capital market products ; (4) considering ability of the client to perform in respect of servicing
arranged by the derivatives fund manager must possess knowledge, ability and business understanding and is subject to the approval of the Office in accordance with rules as prescribed in the notification of
increase or decrease of credit limit suitable for clients’ repayment ability, and updating clients’ information and reviewing each client’s credit limit at least once a year; (3) appointing a committee to
uncertainty concerning entity’s ability to continue as a going concern (paragraph........); ( 5.2 An uncertainty relating to the future outcome of exceptional litigation or regulatory action (paragraph
license under the regulatory sandbox shall be able to demonstrate the ability to proceed in accordance with such procedure and internal control system throughout the period of providing services as a
) to categorize the service user; (c) to assess suitability for providing services to the service user; (d) to consider the ability of the service user to comply with the agreement for service provision
assess suitability for providing services to the client; (d) to consider the ability of the client to comply with the agreement for service provision. (2) have a procedure for providing services to the