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Operational manual and Internal Control Procedure in relation to trading of futures for a financial institution.
Objective of the Operations and Internal Control Procedural Manual
The operations manual serves the following objectives:
1) It serves as official company procedures in connection with daily operations to control the activities and safeguard its assets.
2) It serves to satisfy Regulator and relevant requirements.
3) It serves as a control tool to instruct and inform company staff uniformly.
From time to time, the Compliance Division and the Responsible Officer may issue updates or supplements and update to this Manual. Such updates and supplements are to be physically maintained with the Manual and are to be incorporated by reference as part of this Manual when issued. However, there may be instances where it would be inappropriate for the procedures or guidelines contained herein to be followed. In any such case the Responsible Officer/Division Officer is responsible for with the particular transaction must agree the revised procedures to be followed with the Executive Director / Responsible Officer or the Compliance Officer. The Compliance Division must keep written record of any agreed variation.
This document should be carefully read by the respective financial institutions.
This template may be used upon the Operational manual and Internal Control Procedure in relation to trading of futures for a financial institution.
This is in accordance with SFC and HKMA regulations.