management company shall: (1) Arrange to have a work system ensuring allocation of duties and responsibilities to the respective work units; supervision of its operation; risk management; selection and
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities to be reported to their Board of Directors
deems appropriate, a management company shall arrange for the SEC Office to inspect the operation and evidentiary documentation relating to doing duties of the representative as designated by the
company shall arrange the appointed juristic person to comply with the rules under these sub clauses as soon as possible, but not later than 2 years as from the effective date of the Notification (within 16
. First amendment had been made on 28 February 2014, material details which had been amended are as follows: First Version Amended Version 1. The Company cannot take and/or arrange for the shares of G J
the intermediary and the client in accordance with laws, relevant Notifications and procedure set by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication
) practicality between the intermediary and the client in accordance with laws, relevant Notifications and procedure set by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i