investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from
efficient operating systems relating to being an agent for selling or receiving requisition of investment unit redemption of gold ETF: (a) risk management system; (b) internal control system; (c) security
such assets, and for internal control to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for
the followings, are or will be at the ready: (a) Systems for separating mutual funds’ assets from those of the fund supervisor’s, for attending and safekeeping of such assets, and for internal control
client’s asset, which is independent from the securities trading unit or securities advisory unit, and must organize a good internal control system for the custody of client’s assets. Such system must at
result of internal organizational restructuring. 1.3. Expenditure on staff various welfare and other expenses are high even though the subsidiaries will consider the manpower reduction in the past 2016
under the Securities and Exchange Act of B.E. 2535(1992); (5) a back office system; (6) an internal control system and a system for handling of complaints and dispute resolution. A back office system in
against EIC Semi in the total amount of Yuan 2.38 million. EIC is in the process of negotiation in order to request for a reduction in the amount of damages incurred. The result of the negotiation still