diligence; 2 (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial
control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial prudence An intermediary shall
, unless an exemption is granted by the SEC Office on the ground that the offering is necessary, reasonable and adequate measures have been adopted to prevent such non- compliance; (7) there are no grounds
application, unless an exemption is granted by the SEC Office on the ground that the offering is necessary, reasonable and adequate measures for the offering for sale have been adopted; (5) there are no grounds
filing of the application, unless an exemption is granted by the SEC Office on the ground that the offering is necessary, reasonable and adequate measures for the offering for sale have been adopted; (7
application, unless an exemption is granted by the SEC Office on the ground that the offering is necessary, reasonable and adequate measures for the offering for sale have been adopted; (7) there are no grounds
biography of the audit committee. The audit committee number 1 has adequate expertise and experience to review creditability of the financial reports. The audit committee of the company has the scope of
: Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories dated 3 August 2016 with respect to the procurement of adequate financial resources for
August 2016 with respect to the procurement of adequate financial resources for covering risks and the detailed operation concerning the risk management. Clause 3 The derivatives clearing house shall
has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention