Business Clause 13 9 Personnel in the capital market business shall be persons who [i] have ability and work experience, [ii] attend training courses or pass the examination of courses provided by the SEC
Business Clause 13 Personnel in the capital market business shall be persons who [i] have ability and work experience and [ii] attend training courses or pass the examination of courses provided by the SEC
business to the third party, the management company shall remain legally accountable and liable to regulator and investors whereby the scope of work shall be within the ability of the management company to
cover the following general matters: · ensure firm’s commercial considerations do not override the quality of work performed; · The firm’s performance evaluations, compensation, and promotion (including
the nature or timing of the auditor’s work (paragraph........); ( 2.2.3 limitations imposed by management (paragraph........). ( 2.3 Corresponding figures contains or may contain material misstatement
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
the firm assures that all staff has sufficient accounting and auditing knowledge enough to perform their audit work? 12 Does the firm conduct significant amount of in house training? 13 Does the firm
to check whether the work performance of such designated person is within the scope of power, duties and responsibilities; (2) determining clearly the rules concerning consideration for approval of
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
as the operation of the work units relating to undertaking the derivatives brokerage business in a manner whereby it can be demonstrated that a system to prevent conflicts of interests, a system to