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The Corporate Operational Manual is a crucial document for the company as it serves several important objectives. Firstly, it acts as the official company procedures for daily operations, ensuring that activities are controlled and assets are safeguarded. Secondly, it helps the company comply with regulatory requirements, ensuring that all necessary rules and regulations are followed. Thirdly, it serves as a tool to instruct and inform company staff uniformly, ensuring that everyone is on the same page and understands their roles and responsibilities.
The manual is divided into several sections, each providing detailed information on different aspects of the company's operations. The introduction section provides an overview of the objectives of the manual and explains how it should be used. The financial resources section emphasizes the importance of maintaining accurate financial records and complying with relevant regulations. The job descriptions and accountability section outlines the responsibilities of different roles within the company, including the board of directors, executive officer, financial controller, compliance officer, and administration manager.
The manual also covers important topics such as anti-money laundering, anti-terrorism, and sanctions. It explains the regulations and rules related to these areas and highlights the company's responsibilities in ensuring compliance. The section on identification of clients provides guidance on how to establish the true identity of each client and their financial situation, investment experience, and objectives.
The manual also includes information on account opening procedures for both individual and corporate clients. It explains the requirements for opening an account, including the necessary documentation and the need for a written agreement with each client. The manual also covers order handling and dealing procedures, including the steps to be followed when receiving client orders and the importance of prioritizing client orders over staff dealing orders.
The manual provides detailed information on futures settlement operations, including the daily and monthly reconciliation processes. It explains the procedures for cash settlement, receipt of cheques and pay-in slips, and bank and trust account reconciliation. The manual also includes a contingency policy, outlining the backup arrangements and system recovery procedures in the event of system failure.
Lastly, the manual addresses the handling of complaints. It emphasizes the importance of handling complaints in a timely and appropriate manner and outlines the steps to be followed when receiving a complaint. The compliance officer plays a crucial role in investigating and resolving complaints, ensuring that appropriate measures are taken to address the issues raised.
Overall, the Corporate Operational Manual is a comprehensive document that provides detailed guidance on all aspects of the company's operations. It highlights the importance of following procedures, complying with regulations, and prioritizing client interests. By following the guidelines outlined in the manual, the company can ensure efficient and compliant operations.
1. Follow the procedures outlined in the Corporate Operational Manual to control daily operations and safeguard company assets.
2. Comply with all relevant regulatory requirements and ensure that all necessary rules and regulations are followed.
3. Familiarize yourself with the responsibilities outlined in the job descriptions and accountability section of the manual.
4. Adhere to the anti-money laundering, anti-terrorism, and sanctions regulations and guidelines outlined in the manual.
5. Establish the true identity of each client and their financial situation, investment experience, and objectives.
6. Follow the account opening procedures for both individual and corporate clients, including the necessary documentation and written agreements.
7. Prioritize client orders over staff dealing orders and follow the order handling and dealing procedures outlined in the manual.
8. Follow the settlement procedures for cash settlement, receipt of cheques and pay-in slips, and bank and trust account reconciliation.
9. Familiarize yourself with the contingency policy and the backup arrangements and system recovery procedures in the event of system failure.
10. Handle complaints in a timely and appropriate manner, referring them to the compliance officer for investigation and resolution.
11. Follow the guidance provided by the compliance officer in addressing complaints and implementing appropriate measures to avoid similar issues in the future.