. If “yes,” describe how the firm communicates this information to its personnel. b. If “no,” describe how the firm ensures that all personnel are aware on a timely basis of those entities to which

audit of a listed Company? If yes, Please attach a disclosure checklist If no, describe how the firm ensures financial statements of listed companies are sufficient disclosed in accordance with accounting

procedures and methods for each back office work which ensures that the management company complies with laws or the agreement made with its customers or investors. (b) contingency plan for emergency

delivery versus payment (DVP) , (2) a system for repayment of obligations under derivatives which ensures that there shall be repayment for the obligations under derivatives whereby the approved person shall

SEC or the Office certifies the completeness or the correctness of the information in the offering documents nor guarantees the price or the return of the fund”. Clause 16. The securities company shall

the Office certifies the completeness or the correctness of the information in the offering documents nor guarantees the price or the return of the fund”. Clause 12. The securities company shall have

the group of companies call for substantial competition, demonstrate clearly how the Company protects the shareholders' rights and ensures fair treatment or how the corporate management works for the

mechanism controlling the trading of capital market products that ensures the trading is in accordance with the selected portfolio advisory or investment strategy of program trading as well as monitoring and

group of companies call for substantial competition, demonstrate clearly how the Company protects the shareholders' rights and ensures fair treatment or how the corporate management works for the best

shareholders' rights and ensures fair treatment or how the corporate management works for the best interest of the business and all shareholders. Such descriptions should enhance investors’ understanding of the