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performs monitoring function? 2 Does the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, Does the responsible person have sufficient and appropriate
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual
alternative assets such as gold mutual funds and investment in derivatives other than hedging purpose, management companies may choose to control the permissible investment proportion at individual level. In
the firm have a partner or manager level individual who is responsible for its monitoring process? If yes, does the responsible person have sufficient and appropriate experience, authority, and time
Re: Guidelines for the Book Building and the Determination of Offering Price to Public and Individual (No. 2)
leader communicate its policies for quality to its personnel? If yes, describe how the firm communicates its policies and procedures to personnel. a) informal dialogue b) training seminars c) meetings d