analyze value and appropriateness in trading derivatives trading, product or variables specified in derivatives contract whereby such analysis shall be distributed to clients. Clause 4. Derivatives broker

analyze the investment in securities and Category B Investor Contact who is not authorized to analyze the investment in securities; “analysis of investment in securities” means an analysis of various data

investors to examine or for submission to the Office upon request. Clause 4. The mutual fund management company shall arrange to have a statement in the summary prospectus under warnings and recommendation

readily available at any time for securities company to examine or inspect promptly, and also for the Office and auditor of securities company to examine as requested. Clause 9. In compliance with

security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid

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

references when engaging senior audit staff? Does the firm examine or interview candidates before recruit them? C Training 1 Does the firm have an induction course for new audit staff on firm’s policies and

) having a recording system regarding trading information, especially information related to execution of trading transactions, to monitor and examine post-trading activities (audit trail); (e) having a work

matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case where the facts appear to the Office that any

: Category A investor contact referring to investor contact that is authorized to analyze securities investments, and Category B investor contact referring to investor contact that is unauthorized to analyze