and a trustee; (2) beneficiary identifiable by name, qualification or any character that specifies beneficiaries of trust; (3) objectives of trust; (4) property constituting trust property. SECTION 15

funds or clients under its management (cross trade), the transaction shall: (1) be proper for character, investment policy and the necessity for investment of the funds or clients , which the securities

between or amongst funds or clients under its management (cross trade), the transaction shall: (1) be proper for character, investment policy and the necessity for investment of the funds or clients , which

at least. [M] · Providing consistently an inspection of operational recording of user . [A] · Providing a preventing measure for alteration of other record and limitation of right for only concerned

underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business

internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work

27, such auditor shall disclose his finding or render his opinion and clarify consequences material to the financial statements in his audit report. SECTION 30. The auditor under Section 28 shall be a

derivatives position remaining until the settlement date. 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The derivatives broker may be unable to

): ______________________________________________________ 2) Home Economy: _________________________________________________________ 3) Home Regulator: _________________________________________________________ 4) Legal Character of ARFP Passport Fund

applicable):_______________________________________________________ 2) Legal character of Hong Kong Covered Fund: __________________________________ 3) Type of Hong Kong Covered Fund: (more than one answer is