-dealer brokerage company, and registered derivatives intermediary; “intermediary’s board of directors” means the board of directors of an or a committee assigned by the board of directors of an

, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system to prevent conflict of interest; (2) risk management

securities company shall have a code of conduct in writing, to be approved by the Board or Committee of the securities company, on the following issues: (1) the effective system of internal control and system

the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board

Audit Committee and the Board of Directors, and audited by the auditor. Item 4 To consider and approve the allocation of profit Opinion of the Board: It deemed appropriate to propose that the Meeting of

for the year ended December 31, 2018 which had been reviewed by the Audit Committee and the Board of Directors, and audited by the auditor. Item 4 To consider and approve the allocation of profit

appropriate transaction and will benefit for the Company and shareholders. 9 11. Opinion from the Audit Committee and/or directors which is different from that of the Board of directors Audit Committee has

shown in clause 5)). The Company’s Board of Directors approved to proposed to the Shareholders’ Meeting to consider and authorize the either executive committee or the chief executive officer or other

intermediary shall determine the policy, in writing, pertaining to preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such

determine the policy, in writing, pertaining to preventing and managing conflicts of interest which board of directors or a committee assigned by board of directors has already approved such policy, and shall