regarding their Listed clients and if so, did this change the nature of services/fees charged? 11 Does the firm document its understanding with the client regarding the services to be performed by obtaining
firm’s business plan. If yes, please describe 2 How does the firm conduct the estimation of personnel needs? 3 How does the firm deal with the staff turnover in busy season? B Recruitment 1 Does the firm
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
shall making a clearly understanding with counter trader about the expiry date of such offering price end: (2) In case where the price being offered with conditions, securities company shall clearly
state the resources available. If no, How does the firm deal with this situation? Do the firm have technical panel to resolve and give consultations related to Accounting and auditing issues? If yes
the People's Republic of China and Thailand We would like to bring your attention to the Memorandum of Understanding between the Government of the Hong Kong Special Administrative Region of the
of rights and liberties of persons, which Section 29, in conjunction with Section 35, Section 36, Section 39, Section 48, and Section 50 of the Constitution of the Kingdom of Thailand so permit by
Majesty the King, by and with the advice and consent of the National Legislative Assembly functioning as both Houses of Parliament, as follows: SECTION 1. This Act shall be called the "Securities and
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
, but only with respect to providing information or documentation relating to investment objectives, client levels of understanding and experience in trading derivatives; together with the provisions of