, of which objectives is for promoting and supervising derivatives intermediaries, having obtained an approval [for establishment] from the Securities and Exchange Commission. “mutual fund management
; (2) “supervisor” means a person in charge of supervising the work of financial advisory unit who has been or is to be assigned to co-sign with the financial advisor in the letter of certification of
general manager; (b) a person approved by the SEC Office to perform the duty in the level of controlling, supervising and managing the business unit under the Notification of the Capital Market Supervisory
online branch office; (a) the general manager; (b) a person approved by the SEC Office to perform the duty in the level of controlling, supervising and managing the business unit under the Notification of
online branch office; 8 (a) the general manager; (b) a person approved by the SEC Office to perform the duty in the level of controlling, supervising and managing the business unit under the Notification
) of the Notification on Standard Conduct of Business shall include the following characteristics and shall comply with the Notifications of the Associations approved by the SEC Office: (1) supervising
; (3) re-assess and manage risks in case of changes to the processes and procedures and controls associated with information security, or changes of the outsourcee; (4) establish measures for supervising
and manage risks in case of changes to the processes and procedures and controls associated with information security, or changes of the outsourcee; (4) establish measures for supervising the outsourcee