Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of
) “specific advice” means investment advice given to any person which is suitable to the investment objective, financial status, or requirements of such person. Chapter 1 Operational Control _____________
investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from
ETF: (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from accessing or amending information
cost control. Net profit ( pre- TFRS 16) declined - 23% YoY, - 6. 5% QoQ from unrealized foreign exchange loss and increasing D&A, while excluding foreign exchange effect net profit declined - 21% YoY
268.7 million or 49.2 percent from 2018 is caused from growth in gross profit from increase in sales and service income and improvement of costing control. Including the cash management from capital
laundering control; (9) Having been sentenced for commission of any offense under the securities and exchange laws, the laws governing the undertaking of finance, securities and credit foncier businesses, the
securities trading or management in a deceitful, fraudulent or dishonest manner, or under the laws relating to money laundering control; (Translation) - 4 - (9) Having been sentenced for commission of any