policies and procedures 2 Does the firm have channels for firm personnel to raise any concerns in a manner that enable them to come forward without fear of reprisals? If yes, please describe 3 Does the
undisclosed except in the case of disclosure by virtue of law or for the benefit of the financial institution system or the public; (e) members shall not help or support fraudulently any act deemed to be an
presented in the latest audited financial statement is in a positive position. If there is a capital increase after such financial statement, the increased amount could be added to the shareholders’ equity
country or jurisdiction specified in the database in Clause 14(3); (2) a corporate client with complex shareholding or functional structures that may raise doubt or difficulty in determining the true
communicating the results of each engagement. It should also cover consultation during the course of engagement. Following is the checklist that will help to assess engagement performance of the firm. Particulars
suit the market needs and to serve customers better. In addition, this will help reduce personnel training costs for securities companies which regularly organize in-house training. 3. Duration of
prior approval from the Office, which will help facilitate their business operation.
decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution: O Yes (please specify) I am or have been an executive of ……………….……… which was
rectify the damaged financial position by decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution, unless exempted by the SEC: O yes O being
of such suitability. It shall also provide basic advice to the client in order to raise the client’s awareness on the importance of asset allocation and determine investment proportion or enter into a