to undertake custody of clients’ assets . In this regard, the securities company shall strictly oversee that the undertaking of custody of clients’ assets shall comply with such rules or practice
and understand the structure, roles, duties and responsibilities of each unit in the organisation. In this regard, units should be arranged in accordance with such organisational chart. 2. There should
: (a) operation associated with the policy in Clause 5 (1) (2) and (3); (b) reporting on compliance in Clause 6 (4). (2) conduct control self-assessment to measure the effectiveness of the operating