December 2023 sent a letter to the company, requiring a written clarification on the issue, which the company failed to provide. Moreover, there may be considerations regarding offenses related to client
policy making, detail of policy and compliment of policy. Compliance Guideline 1. Policy Preparing · Preparing a written policy of security of information technology and the executives, computer staff and
covering the policy making, detail of policy and compliment of policy. Compliance Guideline 1. Policy Preparing o Preparing a written policy of security of information technology and the executives, computer
derivatives trading and clearing and settlement. 4 Chapter 2 Good Governance and Organizational Structuring Clause 7 Derivatives clearing houses shall establish clear written regulations on good governance
private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another intermediary and reveal the report in the annual
, or a client who is a provident fund or a private fund shall have prior granted a written approval [for such outsourcing], as the case may be; (b) there shall be a report on supervision of another
accordance with the following rules and shall supervise that its own personnel comply with such rules as well: (1) establish a written outsourcing policy having been approved by the intermediary’s board of
market price or using price which is not market price, mutual fund management company shall engage such transaction just in case of obtaining an approval from mutual fund supervisor in written before