securities company shall keep accurate and up-to-date record of the client’s asset account. In case of amendment of the record, the securities company shall complete the amendment within the same working day
in accordance with the Notification. For elimination of the conflict of interest, the Company shall complete by 1 April 2020. Page 5/11 6. The opinions of the Audit Committee and / or the directors
personnel of any management company do not comply with the provisions of this Notification, the management company shall complete the improvement of its work system and personnel to comply with such
; “Management company” means any mutual fund management company and private fund management company; “Mutual fund management company” means any securities company licensed to undertake securities business in the
provident fund under the laws on provident funds; (Translation) 2 “Open-end fund” means any mutual fund which accepts the redemption of its investment units; “Management company” means any mutual fund
a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved and inspected by the SEC
client shall be reviewed on a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved
Chief Executive Officer to negotiate, consider, agree, certify, sign and/or execute any documents that related to the transaction in order to the complete the objectives. Today, the Company has entered
branches of major retail trades over the countries in the 3 rd quarter of the year. In this regard, the parent Company enabled to complete service to the said customer within such quarter while the previous