appropriate consultation took place for difficult or contentious matters? If yes, Please describe the policies and procedures. If no, How does the firm ensure that the difficult or contentious matters have been

confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically stipulate a position limit of their clients, the

investment, debt repayment and pledging collateral, and confine a position limit for each client. In this regard, if there are other Notifications applicable to some intermediaries, which specifically