shall render the company is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the

is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the securities company may

effective analysis, assessment, evaluation and monitoring of the risk management.  Credit Risk Management Sub-committee and Corporate Governance Committee oversee project financing requests that could have

Attachment 3: Details of heads of internal audit and compliance units Attachment 4: Details of asset appraisal Part 1 Business Operation 1. Policy and business overview Provide an overview on the background

|- Capital Adequacy Requirements |- Executives / Personnel | - |- Approval & Qualifications (Section 103, 104) |- Auditors |- Reporting |- Fees |- Related Circular Letter    Marketing |- Approval and Standards

in the manner that implies dishonesty, affecting the reliability of capital market business personnel in a significant manner, both of which are considered prohibited characteristics of the capital

securities trading orders were deemed as failure to perform the duties under Clause 23(3) and the prohibited characteristics of the personnel in the capital market business under Clause 31(1) of the

and procedures as specified in the Notification of the Capital Market Supervisory Board by failing to appoint other person who qualifies as the personnel under the Notification of the Capital Market

under (1) and (2) constitute misconduct, indicating dishonesty and significantly affecting the reliability of personnel in capital market business, and the acts under (3) constitute a failure to

derivatives investment advisors. ✓ ✓ ✓ ✓ Company profiles and reports on wealth advice service (annually). ✓ 1. Data relating to operating systems and actions with intermediaries; 2. Appraisal companies