, knowledge, understanding and experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening
experience regarding securities investment, financial status and ability to pay debt of such client in order to use such information to assist in reviewing of the account opening application and providing
meet the following criteria in order to comply with the governance of information technology of the intermediary established under Clause 5: 6 (1) policy on the governance of information technology shall
governance meet the following criteria in order to comply with the governance of information technology of the intermediary established under Clause 5: (1) policy on the governance of information technology
relations officers/center or compliant center etc. 15.2 The company establishes whistle-blower hotline in order that external stakeholders could safely inform information or traces of frauds or corruptions to
the information memorandum to shareholders. However, taking into consideration the good corporate governance and in order to provide shareholders with complete information, the Board of Directors
, conditions and procedures on management of fund. Management company shall reveal to unitholders, clients or prospective investors, as the case may be, in order to know that such information under paragraph one
Part 3; (4) Staff dealing as specified in Part 4; Management company shall have an operating system sufficiently and effectively in order to protect any acts according to paragraph one which may create
prospective investors, as the case may be, in order to know that such information under paragraph one can be inspected at management company, representative of management company (if any) and the Office
the approval to offer for sale of such securities, the SEC Office is empowered to: (1) order the approved person, a director or an executive to clarify or disclose additional information within a