Office revokes its approval under (3), the Office may specify terms or conditions for accepting for consideration of the next application for approval for such person. Upon completion of such terms or
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
securities company, it shall be deemed that the approval for such auditor granted by the Office in accordance with this Notification shall cease accordingly. The finance and securities company referred to in
company to provide advice or information concerning investment in a fund; (c) having systematic procedures and methods for accepting of purchase or redemption orders which can be examined for certainty and
mutual funds under its management; (3) the fee for selling and accepting redemption of investment units shall be at the rate of 1 percent, calculated from the fee income that the licensee collects from
services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
Clause 4(1)(a) or Clause 4(2), a derivatives broker shall act as follows: (1) cease any derivatives trading which may result in entering a new derivatives position for such client except for any
the clients’ information under Paragraph 1(3) is in process, the intermediary shall provide services to the clients with regard to accepting sale orders or clearing the outstanding positions of capital
company or the issuer of ETF units , as the case may be: (1) purchasing ETF units by using assets as a payment under the requirement of such ETF or; (2) reselling ETF units by accepting assets as a
firm evaluate the knowledge and expertise of engagement team required to perform an engagement prior to accepting an engagement? If no, describe how the firm determines that it can complete the