management company shall make payment out of the management company in the amount equivalent to the difference representing the deficiency, or reduce the number of such remaining investment units and make
to make payment to the other party, or vice versa , in the amount which is equivalent to the difference between the price or value of goods or variable specified in the contract and the price or value
price specified in the contract; (2) a contract in which a party receives payment from or is obliged to make payment to the other party in the amount equivalent to that calculated from the difference
checklist for monitoring element? If yes, please provide us that checklist. If no, how does the firm carry out inspection to evaluate its compliance with its policies and procedures 5 Does the firm perform
asset or make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or a period of time in the future as set out
person responsible for managing information security incidents; (3) report any information security events to the responsible person under (2) and the SEC Office without delay; (4) carry out testing of
used in determination of partner’s remuneration? (Do not need to specify amount of remuneration, just describe the criteria ) 10 Does the firm carry out the staff satisfaction survey results? If yes
continue to provide the critical functions in such event of disruption. Clause 9. A securities company shall carry out the followings task at least once each year: (1) Testing and reviewing of the business
securities business operating or derivatives business to intermediaries . Clause 8 Intermediaries shall carry out the following tasks at least once each year: (1) Testing and reviewing of business continuity
the qualifications under Clause 3(6), (7), (8) and (9) as provided in the application except where there is any difference in detail to the extent that it will not materially change the qualifications