efficient system of operational control for examining and counterbalancing [the personnel’s performance]; (5) having efficient internal audit and control system; (6) having exhaustively comprehensive risk
practice for such type of transaction. Clause 16 In conducting a due diligence of the real estate before investment, the applicant shall perform professionally by at least examining and reviewing the
advices relating to securities investment to investor or the client of securities company, or in analyzing a securities investment, such securities company shall arrange to have the investor contact
securities company, or in analyzing a securities investment, such securities company shall arrange to have the investor contact category A or B, as the case may be, who obtains an approval from the Office as
Giving Advice to Client Clause 16.13 14 15 In contacting, soliciting, or giving advices relating to securities investment to investor or the client of securities company, or in analyzing a securities
current accounts for the highest efficiency in cost management. We are therefore continuously monitoring and analyzing the course of events. Subject to our regular reviews and improvements in liquidity risk
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such
trading or investing in capital market product , without planning or analyzing of investment. Investment consultant is categorized as follows: (1) general investment consultant means an investment
person giving investment consultation to investors, relating to solicitation for investment or providing consultation for trading or investing in capital market product, without planning or analyzing of