rules: (1) Records of advice given to customers and derivatives orders placed by customers shall be kept for at least three months from the date on which the advice is given or order is placed, as the
less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification
computer centre shall have automatic fire suppression system. For the preserved computer centre, it shall have an fire extinguisher tank at least for preliminary fire suppression. [M] 2.2 Electricity
derivatives trading orders placed by customers shall be kept for at least three months from the date on which the advice is given or the order is placed, as the case may be. However, should there be any
matter for which the members provide services; (d) members shall not disclose any client’s information which becomes known to them through the course of business operation and normally should be kept
made by an authorised person and examining of the correctness of the cheque preparation. 4. There should be a dividend payment system e.g. an allocation of the retained earnings and the list of
rights and warrants 22. Additional paid-in capital (discount on capital stock)) 23. Appraisal surplus 24. revaluation surplus (deficit) in investments) 25. Retained earnings (deficits) arising from risk
analysis which the investment advisory company deliver to a customer; (4) an advice for a customer, except in case of using a tape recorder in giving advice which shall be kept for the period of not less
that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to
auditing and accounting standards and guidance? Does the audit manual included requirements that are related to quality control of audit engagement? Where are standard audit manuals kept? Do the firm