mutual fund) Redemption Form without providing services in such capacity, nor did she examine the unit holding report of the customer's fund investment portfolio before the customer's partial unit
audit on the internal control system concerning the B/E issuance, related receipt and payment transactions, and the company's accounting records practice. In addition, KC must examine the issue raised by
company accounting period. TTA will examine whether the shareholders? request and shareholding of each requesting shareholders is accurate before proceeding in accordance with relevant laws and
advisors, and derivatives business operators are required to report suspicious transactions as specified by the law to the AMLO; which has the power to examine the report and information relating to
security as well as supervise, monitor and examine compliance with such policies, measures, and operating systems, and review the suitability thereof regularly; In the interest of meeting the aforesaid
examine the operation of such branch office. (Unofficial Translation) 2 In case where no person is responsible for the operation of branch office under the first paragraph or such person is unable to
, it should assess related affect and record such alteration up to date, including communicate to the concerned person for acknowledgement. [M] · It should install software as necessary for operation and
for the necessary case only. [M] 6. Configuration management o Prior to configure the system and computer device, it should assess related affect and record such alteration up to date, including
with sufficient information to effectively monitor and assess risks in business operations and keep pace with current circumstances. Additionally, they would enhance trust and confidence among