, please describe 2 How the firm’s job evaluation / appraisal process works? How often job evaluation made? 3 Does the firm’s appraisal process gives due recognition and reward to competence, compliance with
approval of private fund custodian; □ 3.2 For approval of private fund custodian and requesting for the permission to commence the business, which the commencement date will be……………………… □ 3.3 For renewal of
shall include the information on the court trying the case, the commencement date, the parties, the cause of action, the progress of the case as well as the names of the directors, executives or
proceed completely before the date of commencement of securities or derivatives business. The first and second paragraph shall not be applicable to any intermediary who ceases all businesses. Clause 3 An
be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back
commencement date, the parties, the cause of action, the progress of the case, and the opinion of the Company regarding possible impact of the lawsuits or disputes on the operation of the Company or its
financial institution. The above disclosure shall include the information on the court trying the case, the commencement date, the parties, the cause of action, the progress of the case as well as the names
Obtaining the License _________________ Clause 8 A person who obtained precious metal derivatives brokerage license shall comply with the following conditions: (1) before commencement of precious metal
conditions: (1) before commencement of precious metal derivatives brokerage business, the derivatives broker shall have preparedness of management, policies, measures and personnel as prescribed in clause 4(6
qualification and what is the criteria for making manager/senior manager/partner. What is the focus on performance - commerciality or technical competence? 3 What is the focus / objectives for audit staff at job