intermediary ; “ executive ” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or

approval under Clause 2 , a securities company intending to obtain approval shall submit an application to the Office, together with documents and evidence as per the forms and procedures provided in the

Audit Firm Name: Subject : Human Resources Prepared by Date Particulars Reference /Guidance Notes Description A Human Resources Planning 1 Is the firm’s human resource planning in line with the

practical for property fund managers’ lines of work such as Investment in Real Estate, Real Estate Project Development, Strategic Planning of the Projects, Real Estate Management, Consulting for Real Estate

engagement. To the extent appropriate and as required by applicable professional standards, these policies and procedures should cover planning, performing, supervising, reviewing, documenting, and

4 Companies should determine a recovery objective to restore normal operations (5) Division 5 Companies shall arrange business continuity planning for supporting business continuity (6) Division 6

supervision of policies of the applicant; (b) work related to control, supervision and management of business units concerning investment advice, investment planning, analysis of investment or products in the

following categories: (1) securities brokerage, securities trading or securities underwriting; (2) investment advisory providing investment planning to clients or using software programs in providing services

; □ (2.3) Personnel planning for business expansion (if any). In the case where no personnel has been hired, the applicant shall submit the criteria for qualifications of such position. □ 5. Other supporting

of the IT services provided to serve clients or to support critical activities ; (5) require periodic reviews of the cloud provider such as the financial condition or the capacity planning, to ensure