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
of margin call: (1) the required amount of the initial margin and the maintenance margin . If the derivatives broker calls for a different amount of initial margin or maintenance margin in respect of
to the extent that it is not contrary to the purpose of the creation of trust. SECTION 21 In cases where the SEC Office has issued notifications specifying additional particulars and statements under
indirect individual account of an omnibus account to the extent that the client knows or should have known as a result of holding such omnibus account. (2) the client gives consent to the intermediary for
different renewal period allowed, such person shall submit a renewal application within the later period. In this regard, the approval period for investor contact or derivatives investor contact, as the case
derivatives trading. Clause 24. In the case that a client wishes to enter into derivatives trading which involves specific risks that are different from those indicated in the risk disclosure statement under
. Rules and Periods for Report Submission of Securities Companies dated 18 May 1992 which have been in effect prior to the effective date of this Notification shall remain in full force to the extent that
part of a network under common monitoring policies and procedures: (a) Whether the firm receives the overall scope, extent and results of the monitoring process annually; and (b) Whether the firm is
engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and