prohibited characteristics of the similar case in the past; (d) the intention to violate or failure to comply with the relevant law, rules or related regulations; (e) other posterior behaviors such as giving
technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
case of inspection by an internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the
case where the securities company appoints a person that has relationship as a parent company, subsidiary or affiliate company, as an agent, the securities company shall inform its clients about such
perform his or her duties in accordance with this notification. The securities company shall inform its client about the appointment of an agent to the client’s assets without delay. In the case where the
person who is appointed to be director or manager and the securities company by its authorized director, or in case of authorization by the securities company, the certified signatory shall at least be the
departmental director, a branch manager and shall also mean a person holding any equivalent position called otherwise who is in charge of the following business functions, as the case may be: (a) Business
-943-6663-4 Fax: 02-943-6343 02-943-7740 Table showing the performance comparison between the aggregate of products obtained from eliminating overlapping benefits compared to the case excluding (Million
period of five years prior to submitting the application; (b) the person shall be knowledgeable and have capability in performing a reliable valuation of infrastructure assets ; 2 (2) in the case that the