handling the customer complaint as well as reporting progress and notifying the results provided by the derivatives broker; (3) arrange to have a system to monitor and inspect customer complaint proceedings

less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification

than five years. In the first two years, those information and (Unofficial Translation) documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3

the first two years, those information and (Unofficial Translation) documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification

renewal of an applicant as a registered auditor, and (b) regularly review or inspect the quality of work of the registered auditors and their audit firms in accordance with International Standards on

are requested to supervise and inspect all transactions that NUSA is currently conducting and will conduct in the future to ensure that they are accurate, appropriate and are of best interest for the

) clear separation of area for selling of investment units from others. The SEC will randomly inspect commercial banks. The SEC also urged asset management company and trustee to emphasize on effective

. Division 2 Outsourcing Non-central Utility Function ______________________________ Clause 14 In case of outsourcing non-central utility function, an intermediary shall select a service provider who has the

Outsourcing Non-central Utility Function ______________________________ 6 Clause 14 In case of outsourcing non-central utility function, an intermediary shall select a service provider who has the

Outsourcing Non-central Utility Function ______________________________ 6 Clause 14 In case of outsourcing non-central utility function, an intermediary shall select a service provider who has the