. Derivatives broker shall arrange to have an efficient financial and operational risk management system. In the information technology risk management, derivatives broker shall arrange to have an operational
arrange to have an efficient financial and operational risk management system. In the information technology risk management, derivatives broker shall arrange to have an operational control and information
sufficient and efficient work system; (c) expertise, experience and business reputations; (d) readiness of the service provider in case of providing services to many intermediaries ; (e) record of complaints
sufficient and efficient work system; (c) expertise, experience and business reputations; (d) readiness of the service provider in case of providing services to many intermediaries; (e) record of complaints or
maintenance service, including efficient fuel management both in procurement process and production process. Gross Profit Margin of Biomass Power Plant for this period included gross profit of new acquired
Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of
Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of conduct approved by the board
, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117