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
correctly, completely and up to date, and shall keep them for not less than two years from the date of preparing such document evidences: (1) information of a customer using for supplementing the giving
position. Handbook or operating guideline for staff must be prepared and up-to-date. 3. The personnel must perform their duties in accordance with the law and relevant rules and regulations including code of
fund managers. 2. Job description must be prescribed in details and demonstrate the duties of each position. Handbook or operating guideline for staff must be prepared and up-to- date. 3. The personnel
our staff and customers remains our top priority. The Company constantly evaluate the situation and take proactive action to manage up-to-date under condition that are changing rapidly by aware of the
accurate, complete, and up-to-date documentation by DA operators, including the safekeeping of client assets and the transactions of investment management. The proposed amendments would provide the SEC
investors in deciding to transact with the members so that the relevant persons would receive adequate, up-to-date and equal information through convenient and accessible channels.Remark: * The two
information set to the new service provider through an interconnected system on the condition that investors personally check whether or not the received information is accurate and up-to-date. In such case
: (1) Amending the regulations so that they are up-to-date, more flexible and more principle-based, for example, improving information disclosure channels by allowing asset management companies to