and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be
inspection as follows: (1) Communicate with the related personnel to be aware of the necessity and the importance of compliance inspection including the understanding of the policy and the guideline; (2
policy, and shall communicate the policy thoroughly in order to become acknowledged by its personnel. In addition, the intermediary shall organize and supervise directors, executives and other personnel to
communicate the policy thoroughly in order to become acknowledged by its personnel. In addition, the intermediary shall organize and supervise directors, executives and other personnel to conduct their
) communications with clients An intermediary shall pay due regard to the information needs of its clients , and communicate information to them in a way which is clear, not distortion and not misleading; (11
clients An intermediary shall pay due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients
due regard to the information needs of its clients, and communicate information to them in a way which is clear, not distortion and not misleading; (11) clients’ relationships of trust An intermediary
-Process (KYP) due diligence. This is to ensure that clients who are foreign securities companies acknowledge and understand the relevant regulations and effectively communicate these regulations to their
environmental action plan in place. Additionally, they must communicate progress on these matters to investors according to specified criteria. 2. To strengthen the roles and responsibilities of AMCs: In