from time to time, to allow the SEC Office to monitor compliance with this Notification, within a time period specified by the SEC Office, provided that the requirement does not cause unreasonable burden
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, duties and responsibilities
of the 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
), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8) Being able to
(Chinese Wall), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8
power of those consumers relying on agricultural income have been affected by the drought and low commodity prices. However, the impact on private consumption is expected to be eased to some extent by
measures to appropriately monitor, control, and manage each type of risks to ensure that these risks can be handled; (3) sufficient funding, appropriate systems and rules for membership and supervision of
can also be used to demonstrate the extent to which they have complied with the Code. In a similar spirit, UK institutions that apply the Code should use their best efforts to apply its principles to
1.5 Where an Institutional Investor outsources its stewardship duties and responsibilities, the Institutional Investor should monitor the discharge of these duties and responsibilities to ensure that
compliance unit in which acceptable and reliable standards are adopted. The compliance unit shall be independent to monitor the operation of the derivatives broker. Clause 8 The derivatives broker shall put in