, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system to prevent conflict of interest; (2) risk management
securities company shall have a code of conduct in writing, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system
or Committee of the securities company, on the following issues: (1) the effective system of internal control and system to prevent conflict of interest; (2) risk management system to prevent damage
Notification, the anti-money laundering legislations, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities
, the internal policies and procedures, as well as the Industry Association Guidelines. The securities company shall arrange for the afore-mentioned activities to be reported to their Board of Directors
233.84 198.95 181.77 Total liabilities and shareholders’ equity 569.28 806.74 1,228.52 1,570.82 Remark/1 : Based on internal financial statement of YLP Operating Performance YLP Company Limited Income
appear that the securities company being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work
. Clause 3. In this Notification, “Securities company” means any company licensed to undertake securities business in the category of securities brokerage, securities dealing, investment advisory services