major gains/losses of clients in the year? 2 The standard documentation highlights all important matters for consideration, including: · integrity and identification checks on client, for example: · The
of the Office. In issuing the notification in accordance with the first paragraph, the Office shall specify the following important matters: (1) capital fund, net total assets and business operation of
as well. For example, for investment or encumbrance creation of mutual funds or private funds, it shall consider a process in settlement or delivery which may affect to an overall market system. For a
controlling power and the nature of business during the preceding year as well as the material changes in the shareholding structure, management or business operation or any other important events (e.g., merger
case of a private placement), etc. - Specify other important details of the offer for sale of the securities, for example, the issuer (only in the case of the existing securities holders offering their
changes in the shareholding structure, management or business operation or any other important events (for example, merger and acquisition) during the past three years, if any. 1.3 Shareholding structure In
necessary or facilitate to process data completely, accurately, and effectively, such as IT equipment, applications, computer network systems, procedures, or information processing areas, etc. Chapter 1
policy to prevent and manage conflicts of interest as prescribed in Clause 17 shall describe at least the following contents: (1) identifying conflicts of interest which may arise in every process of
inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm
laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC