... relation to a firm, − whether the conduct reveals serious or systemic weaknesses of the firm’s internal control procedures and risk management systems in respect of all or part of the business of regulated activities carried on by the firm; − the seniority and industry experience of the staff involved in...

... relation to a firm, − whether the conduct reveals serious or systemic weaknesses of the firm’s internal control procedures and risk management systems in respect of all or part of the business of regulated activities carried on by the firm; − the seniority and industry experience of the staff involved in...

... would be cross checked and verified by separate and independent staff member. Establishment of internal control procedures to support the segregation is highly recommended and constant supervision is necessary. Member must monitor closely the activities of the respective functions to avoid any loophole...

... the criteria set out in the Authorization Guideline mentioned in paragraph 2.12. These will include particulars of the applicant, its directors and controllers, financial standing, staff establishment, accounting policies, internal control and business plan. 4.2. The applicant, with the exception of...

... the criteria set out in the Authorization Guideline mentioned in paragraph 2.12. These will include particulars of the applicant, its directors and controllers, financial standing, staff establishment, accounting policies, internal control and business plan. 4.2. The applicant, with the exception of...

... the criteria set out in the Authorization Guideline mentioned in paragraph 2.12. These will include particulars of the applicant, its directors and controllers, financial standing, staff establishment, accounting policies, internal control and business plan. 4.2. The applicant, with the exception of...

... 註冊有限公司 Incorporated with limited liability 香港灣仔駱克道 353 號三湘大廈 29 樓 29/F, Sunshine Plaza, 353 Lockhart Road, Wanchai, Hong Kong 電話 Tel: 25201868 傳真 Fax: 25201967 網址 Website: http://www.hkfi.org.hk 電郵 E-mail: [email protected] Ref : Mv042/18 By Fax & By Email To : Authorized Representatives of Member C...

... 22 January 2021 Mr Tommy Chan 2882 9943 See Note 4 IA-CIB- 2021004 CIB Risk Management and Internal Control - An Integrated Approach 2 25 January 2021 Mr Tommy Chan 2882 9943 See Note 4 IA-CIB- 2021005 CIB VHIS – How would you select an appropriate plan for your clients 2 23 February 2021 Mr Tommy...

... determining whether a person is a fit and proper person. 6 (ii) any other person who is or will be acting for or on behalf of the person in relation to carrying on regulated activities; and (iii) the question as to whether the person has established effective internal control procedures and risk management...

... determining whether a person is a fit and proper person. 6 (ii) any other person who is or will be acting for or on behalf of the person in relation to carrying on regulated activities; and (iii) the question as to whether the person has established effective internal control procedures and risk management...