skill, care and diligence; (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4

Section 15, the SEC Office shall have the power to direct the trustee to add such particulars and statements to the trust instrument within a reasonable period of time if it is appropriate for the benefit

opinions on by the auditor of the mutual fund and certified by the management company, within fifteen business days as from the dissolution date of the mutual fund; Where it is necessary and reasonable, the

customer defaults on an obligation under derivatives transaction the derivatives business operator shall give notice to the customer to settle such obligation within a reasonable period of time. If the

notified promptly for all identified deficiencies in the quality control system. C Complaints and Allegations 1 Does the firm have policies and procedures designed to provide it with reasonable assurance

the cause under Clause 4 (3), the derivatives business operator shall remove such executive from the position or from office within a necessary and reasonable period of time without delay. Clause 6

Audit Firm Name: Subject : ENGAGEMENT PERFORMANCE Prepared by Date ENGAGEMENT PERFORMANCE : Policies and procedures should be established to provide the firm with reasonable assurance that the work

regulations under Chapter 7/1. Clause 4 In the case where there is a necessary and reasonable ground, the SEC Office may grant a waiver for an intermediary from complying with any rule under this Notification

a reasonable and necessary ground and that such securities trading is without the intention to seek benefits in the manner of exploiting the clients, or shall be able to demonstrate that there is a

person specified under Clause 3(1), in which case the consideration of the paid-up capital shall be in accordance with Clause 5; (2) having no reasonable ground to believe that its financial condition may