risks relating to the receipt of cross-border collateral to ascertain that such collateral may be enforced in an appropriate and timely manner. Clause 10 This Notification shall come into force from 1

calculation method shall be reviewed at least once a year; (10) determination of methods for identification and mitigation of risks relating to the acceptance of cross-border collateral to ascertain that such

personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared for or used in

of the personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the keeping of documents and evidences to be prepared

of written document or evidence for the acts of the personnel directly responsible for fund management so as to ascertain and examine the acts of such personal; (b) methods and locations for the

securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail client , the securities company

the person controlling securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail

the person controlling securities trading of the client, and provide sufficient data or documentary evidence to ascertain a client’s financial status and debt repayment ability. In case of a retail

draft prospectus, including other documents and evidence with the Office; (2) to review and comprehend the information regarding the issuer of securities and other relevant information and take actions to

ascertain the client’s financial status, repayment ability, investment objectives, level of knowledge, understanding, and experience in derivatives trading for the purpose of consideration of an application