regarding key issues and report directly to the executive board or the board of directors; (4) reviewing the risk management system to ensure that it is always current and up-to-date. Clause 3 A securities
client or client’s authorized person. Clause 10. A securities company shall not utilize the client’s assets for the benefits of other clients, other persons or for itself unless it receives an order or
authorized person. Clause 10. A securities company shall not utilize the client’s assets for the benefits of other clients, other persons or for itself unless it receives an order or consent of the client in
category of derivatives dealer in its home country where it is subject to an official supervision or a derivatives trading regulator whose regulation on certain derivatives business is equivalent to those
business in the category of derivatives dealer in its home country where it is subject to an official supervision or a derivatives trading regulator whose regulation on certain derivatives business is
invests in or holds shares of any companies as assets of a mutual fund, it shall exercise the shareholder’s voting rights on behalf of the mutual fund in accordance with the following rules: (1) Arrange to