the office; (2) efficient management system which are at least operating, compliance and information management system, including sufficient personnel. It shall be deemed to obtain an approval from the
operation of the office; (2) efficient management system which are at least operating, compliance and information management system, including sufficient personnel. It shall be deemed to obtain an approval
for supporting business continuity To operate a critical business function continually, companies shall arrange BCP in a written and obtain an approval from senior management and the Board or the
, companies shall arrange BCP in a written and obtain an approval from senior management and the Board or the appointed working group. The BCP as such should be kept at place of business, either inside or
lead to unfair treatment of investors, or the investors may not obtain correct or sufficient information to support their investment decision making; (5) the operation of the mutual fund is inconsistent
consent of the client in writing in each case. Clause 11. A securities company shall proceed as necessary for clients to obtain rights and benefits arising from securities or any instruments in the custody
. (Translation) -4- Clause 11. A securities company shall proceed as necessary for clients to obtain rights and benefits arising from securities or any instruments in the custody of securities company, or the