· transaction settlement, risk control, custody of assets, voice recording system and...
19
Transcript of · transaction settlement, risk control, custody of assets, voice recording system and...
![Page 1: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/1.jpg)
![Page 2: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/2.jpg)
![Page 3: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/3.jpg)
![Page 4: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/4.jpg)
![Page 5: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/5.jpg)
![Page 6: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/6.jpg)
![Page 7: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/7.jpg)
![Page 8: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/8.jpg)
![Page 9: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/9.jpg)
![Page 10: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/10.jpg)
![Page 11: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/11.jpg)
![Page 12: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/12.jpg)
![Page 13: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/13.jpg)
![Page 14: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/14.jpg)
![Page 15: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/15.jpg)
![Page 16: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/16.jpg)
![Page 17: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/17.jpg)
![Page 18: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/18.jpg)
![Page 19: · transaction settlement, risk control, custody of assets, voice recording system and communications to the Client on amendments to the Brokerage Rules and Parameters adopted by](https://reader034.fdocuments.net/reader034/viewer/2022042606/5f7fe980364e455089303492/html5/thumbnails/19.jpg)