market regulator, which is accepted by the Office, to perform the duties similar to fund manager. Clause 8. Any person to be approved to be listed in the register of person qualified to be fund manager

of the Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7

Information Technology of a Securities Company. 2. Segregation of Duties. 3. Physical Security. 4. Information and Network Security. 5. Change Management. 6. Backup and IT Contingency Plan. 7. Computer

the Capital Market Business Clause 4 Personnel in the capital market business performing their duties in any of the following functional fields shall have the qualifications, possess no prohibited

Related Party Transactions. “REIT manager” means a person who performs duties of REIT manager according to a trust instrument. “raising capital by general mandate” means raising capital of a REIT in

market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties

conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in

readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in accordance with laws, regulations

for approval of a person who shall perform duties as auditor of the securities company and the finance and securities company as follows: Clause 1. The Notification of the Office of Securities and

of a person who shall perform duties as auditor of the securities company and the finance and securities company as follows: Clause 1. The Notification of the Office of Securities and Exchange