derivatives exchange shall establish the rules concerning members, measures for supervising members and persons registered with the derivatives exchange and working for members to comply with the rules and
capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance
capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance
intended purposes; 9.8 Monitoring and supervising benefit of REIT: specify monitoring and supervising system of REIT; 9.9 Remuneration of REIT manager: specify types and rate of remuneration given to REIT
as auditor in the capital market shall have the following characteristics: (1) having an audit quality control system which is sufficient and reliable for supervising its auditors’ work performance to
operator shall proceed as follows: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign
: (1) screening and selecting foreign securities business operator that is credible and able to give advice under the law supervising business operator in such foreign countries; (2) notifying
sufficient and reliable for supervising its auditors’ work performance to comply with the professional standards on a continuous basis. Such audit quality control system shall comply with the audit quality