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
Exchange Commission No. Kor Thor. 13/2563 Re: Guidelines for Considering Characteristics of Giving Advice to the Public Which Is Not Deemed an Undertaking of Securities Business in the Category of Investment
Notification of the Office shall be submitted directly to the Office. Checklist for Supporting Documents of an Application for Approval of Private Fund Custodian In which an Applicant is CB/ FC/ FSC/ SC/ Life
understanding of the Company's nature of business, including the key factors that have an impact on business opportunities or constraints – for example, acquisition of business license, concession and investment
competition during the past year, industrial and competition outlook with regard to, for example, an approximate number of competitors, the Company's size compared to the competitors, competitiveness and
preceding year, industrial and competition outlook with regard to, for example, an approximate number of competitors, the Company's size compared with that of the competitors, competitiveness and potential
Related to Capital Market Which Are Not Deemed An Undertaking of Derivatives Exchange and Derivatives Clearing House for Which an Approval Is Required _______________________ By virtue of Section 3 and
”), respectively. In this regard, an MRF-eligible master fund is deemed to have complied with the rules specified by each regulator2. In order for business operators to be able to comply with the agreement under HK
specified in the advertisement has been granted by an agency or institution which follows the performance measurement standards as set out by the Association; (b) at least the following information is
qualifications and prohibited characteristics of an executive of a derivatives business operator, it shall be deemed that such person is approved by the SEC Office to be a person with power of management of the