Applicant’s personal record and audit firm’s record – fast track

objective only to risk management. The draft regulations aim to provide investors with more variety of investment alternatives and promote new income channels for securities companies as well as increase

Re: Criteria, Conditions, and Procedure for Application for Waivers for Making Tender Offers for All Securities of Businesses with Objective of Assisting Business Rehabilitation (No. 2)

Re: Criteria, Conditions, and Procedure for Application for Waivers for Making Tender Offers for All Securities of Businesses with Objective of Assisting Business Rehabilitation

3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational

management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Page 2 of 32 (Unofficial Translation) Chapter 1

person to access to the record. [M] Change Management. Objective . Change Management have an objective for rendering the developed or altered computer system having the correct and complete integrity which

having an emergency event, it should record the detail of event, cause of problem, and dissolution method. [A] (Translation) -17- Computer Operation. Objective Computer operation have an objective for

performance in Q3/2019 has been confirmed the new record of quarterly net profit and in line with the business target of the Company. The Company still have a positive expectation and aim to achieve a new

the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the