, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of the operational risk and the customer
system relating to operational management, compliance and information management, including the readiness of personnel; (4) having the result of the evaluation by the SEC Office regarding the management of
. Clause 8 An intermediary shall supervise its directors, executives and other personnel to perform in accordance with the rules under this Notification, and shall have a proper measure to obligate them to
business as specified by the Notification of the Office. □ 4. Supporting documents for consideration under Clause 4 (4) : The information of personnel in the unit responsible for asset custodyshall comprise
the Office. □ 4. Supporting documents for consideration under Clause 4 (4): The information of personnel in the unit responsible for asset custodyshall comprise at least of the following: □ (1) Number
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary