to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business in the category of
and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a
practicable to employees of the securities company, including those entrusted by the company. Also, the procedures shall accommodate non face-to-face contact with the clients and the use of new or developing
Details is entrusted to any person, the following statement and structure shall be applied: “To be used as an evidence that all documents are warranted by me, I entrusted
.: __________________________ Part G: Delegation and Sub-delegation of Functions by Hong Kong Covered Management Company 21) Is any function of the Hong Kong Covered Management Company delegated (and sub-delegated) to other
behalf and may authorize the entrusted agency to appoint its officials to be the competent officials for executing the duties under this Act. Section 12 bis. 2 The registrar shall have the powers and
.: _________________________ Part H: Delegation or Sub-delegation of Functions by CIS Operator 26) Is any function of the CIS Operator delegated (or sub-delegated) to other entity(-ies)? Yes No If “Yes”, please specify the
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
, documentation and support of its quality control policies and procedures. 9 Do the individual or individuals assigned operational responsibility for the firm’s QC system by the firm leadership have sufficient and