Attachment 3: Details of heads of internal audit and compliance units Attachment 4: Details of asset appraisal Part 1 Business Operation 1. Policy and business overview Provide an overview on the background
Services Clause 7 In providing services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide
Services Clause 7 In providing services to clients regarding investment in a capital market product denominated in foreign currency, the intermediary shall comply with the following rules: (1) To provide
services to clients regarding investment in a capital market product denominated in foreign currency , the intermediary shall comply with the following rules: (1) To provide services within the scope of each
currency, the intermediary shall comply with the following rules: (1) To provide services within the scope of each type of license granted to the intermediary; (2) To arrange for clients to access the
depository assigned to consider and provide opinion on the rules or regulations, in cases where the rules or regulations are proposed to a subcommittee; (4) a report on hearing of members and supporting
capital market of the country where such entity established is unable to provide an assistance in inspection and providing information relating to any violation of, or non-compliance with, any provision of
having interests; and (c) appoint an independent financial advisor to provide an opinion on the connected transactions and submit such opinion to the Securities and Exchange Commission (the “SEC”), the SET
and damage prevention system which the securities company should provide for the computer centre. Compliance Guideline 1. Computer Centre Controlling · Storing the importance computer devices such as