product quality control system, while also improving its back office systems for greater efficiency and effectiveness. This program also covers: 1) Modernizing the factory master plan to ensure greater
disciplines in accordance with such regulations as specified by the management company ; **(5) having the following efficient operating systems relating to being an agent for selling or receiving requisition of
regulations as specified by the management company; **(5) having the following efficient operating systems relating to being an agent for selling or receiving requisition of investment unit redemption of gold
Thor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated 6 September 2013
; □ (3.9) System to ensure that the custodian agent can perform duties as designated in accordance with the Notification of the Office; □ (3.10) Other systems showing the readiness to undertaking the
custodian agent can perform duties as designated in accordance with the Notification of the Office; □ (3.10) Other systems showing the readiness to undertaking the business as specified by the Notification of
characteristics and natures of transactions to be regarded as “suspicious transactions;” (2) have in place monitoring systems to promptly identify or detect suspicious transactions; (3) arrange to have proper
securities company must: (1) determine characteristics and natures of transactions to be regarded as “suspicious transactions;” (2) have in place monitoring systems to promptly identify or detect suspicious
legislations, the securities company must: (1) determine characteristics and natures of transactions to be regarded as “suspicious transactions;” (2) have in place monitoring systems to promptly identify or