of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
conduct approved by the board of directors or the executive board of directors of the securities company . Clause 5 A securities company shall establish measures for preventing an access to insider
of directors or the executive board of directors of the securities company. Clause 5 A securities company shall establish measures for preventing an access to insider information between work units and
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
to prevent dishonest abuses of such mutual funds’ assets; (b) Systems for preventing damages to mutual funds’ assets, related information and documents, and for controlling the inflow and outflow of
keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to client’s assets, as well as related information and documents
to separate client’s assets from custodian’s assets, safe keeping system of such assets, and internal control system to prevent the misuse of client’s assets; □ (3.2) System for preventing damages to
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
to the agreement made with the Company in order for preventing any conflict of interests which may cause, still honor his obligations under such agreement on a continuous basis as well. The substance