not currently being subject to any suspension or revocation order or action by Home Regulator regarding the license or business activities. Yes No If “No”, please specify
. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking client complains about the custodian practices. Chapter 2 Internal Control System to Prevent the
securities business for money laundering and financing of terrorism as prescribed by the Notification of the Office of the Securities and Exchange commission regarding Rules, Conditions and Procedures for
commission regarding Rules, Conditions and Procedures for Establishment of Risk Management System to Prevent the Use of Securities Business for Money Laundering and Financing of Terrorism; (c) operating system
TRANSLATION) 2 “Advertising” means communication made to the public regarding sales promotion of investment units, services or fund management operation, or services of brokerage, dealing or underwriting of
the Office governing rules, conditions and procedures for establishment and management of property funds. (UNOFFICIAL TRANSLATION) 2 “Advertising” means communication made to the public regarding sales
future, this Notification is issued to determine the rules regarding permission to qualified derivatives broker to establish branch offices in foreign countries so it is deemed expedient to issue this
liberalization of derivatives business license in the future, this Notification is issued to determine the rules regarding permission to qualified derivatives broker to establish branch offices in foreign