technical competence in fast-changing areas? 3 How do partners deal with meeting various different targets e.g. clients / new work gained, fee income, recovery rates, debt recovery (including timeliness
in connection with any capital market product having high-risk or complex characteristics under Clause 29(2), (3), (4), (5), (6), (7), (8) and (10), shall come into force as from 1 January 2017; and (4
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
prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a
; “ 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
commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the application process changing materially, and the SEC Office
application process changing materially, and the SEC Office has passed such preparedness; (2) maintaining qualifications and keeping its characteristics as demonstrated in Clause 4 throughout undertaking
market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
every three months at least. · For each time of changing password, it should not determine new password similar to the latest password. · do not determine the password in the typical form such as “abcdef
objection within thirty days from the date of receiving the notice of changing the criteria or fifteen days in case of changing sign or other symbol, the company may change the criteria, sign or symbol used