experience to review creditability of the financial reports. The audit committee of the company has the scope of duties and responsibilities to the Board of Director on the following matters: 1. Review the
giving of advice by a foreign derivatives business operator is provided, the derivatives broker shall keep the documents relating to the giving of advice including analysis reports and any other documents
where the giving of advice by a foreign derivatives business operator is provided, the derivatives broker shall keep the documents relating to the giving of advice including analysis reports and any other
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
payment our of its own funds instead. Clause 18 Mutual fund management companies shall make copies of reports under Clause 14(1) and Clause 15, paragraph one, subclause (2)(a) available at their offices for
the securities company under the first paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital
paragraph to submit any necessary documents or reports within the appropriate period for the purpose of considering the capability to maintain its net capital. Clause 6 In the event that, prior to the