or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause 4. Securities company shall have an effective internal control system
3.2 Investment management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Chapter 1 Organisational
management system 3.3 Back office supporting system 3.4 Compliance system 3.5 Documentary preparation and record keeping system Chapter 4 Internal Control System Page 2 of 32 (Unofficial Translation) Chapter 1
information, internal audit, compliance or other services which are similar to above. Chapter 1 General --------------------------------------- Clause 3. In off-exchange service of derivatives broker
announced those analysis. (7) 2 “supporting services” means operation services of derivatives, accounting and finance service, information technology services which related to customer’s information, internal
announced those analysis. (7)2 “supporting services” means operation services of derivatives, accounting and finance service, information technology services which related to customer’s information, internal
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
approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest; (2) risk management system for