performs monitoring function? 2 Does the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, Does the responsible person have sufficient and appropriate
bachelor’s degree or higher - ( - 3 the Certified Investment and Securities Analyst (CISA) Level 1, or the Chartered Financial Analyst (CFA) Level 1 - - ( Except having passed the CISA Level 1 4 the Certified
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and
least bachelor’s degree or other academic degrees accepted by the Office of the Civil Service Commission (OCSC); (2) having work experience relevant to real estate businesses as well as useful and
procedures appropriate to the size and nature of the firm? 4 Does the firm have access to current guidance materials regarding the applicable independence, integrity, and objectivity requirements? a. If “yes
company; (3) prepare the following manual or guidelines for its personnel: (a) organisational structure of company; (b) roles, duties and the extent of responsibilities in extent of each staff; (c) roles
management or risk management of such investments, whether or not it is a central utility function and at any level, there shall be a procedure for requesting an approval from the intermediary’s board of
director or general manager to the extent that the derivatives intermediary is a financial institution which has been regulated by other governmental agencies before having obtained an approval for
(1) or (2) is permissible when the intermediary deems necessary to the extent that it is not: (a) an appointment of third party to be an agent or a broker of a securities company under Section 100 of
; “Office” means the Office of the Securities and Exchange Commission. Clause 2. In order to ensure that each management company shall conduct its business as professional to conform to the level of trust