duties and responsibilities to the Board of Director on the following matters: - Review the financial reports (quarterly financial report and annual audited financial report) to oversee that the reports
undertaking of foreign collective investment scheme at least in the following matters: (1) person responsible for undertaking of foreign collective investment scheme shall submit to securities company
internal control or the compliance and information management system, nor being in the process of amending thereof, unless granted an exemption from the SEC Office. (Details of the matters subject to
selling, repurchasing and redeeming units of foreign collective investment scheme, a securities company shall arrange to have an agreement in writing with the CIS operator at least in the following matters
matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case where the facts appear to the Office that any
Notification prescribing detailed rules relating to the matters specified in this Notification to ensure practical implementation and to enable the Office to examine such implementation. Clause 5. In the case
specified, the Office shall have power to issue the Notification prescribing detailed rules relating to the matters specified in this Notification to ensure practical implementation and to enable the Office
./Mrs./Miss/Entity ……………………….. of the risk involved in futures trading before opening an account or operating the derivatives business for the customer on the following matters: 1. The characteristics of
./Miss/Entity ……………………….. of the risk involved in futures trading before opening an account or operating the derivatives business for the customer on the following matters: 1. The characteristics of