) financial prudence An intermediary shall maintain substantial and adequate financial resources continuously; (5) market conduct An intermediary shall undertake business in keeping with proper standards of

audit quality control of the Audit Firm, the Audit Firm is requested to provide a clear and concise details of the policies and procedures on the audit quality control, in the manner according to the

management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the

with indirect connection to the organization’s internal network systems; “ cloud computing ” means a type of internet-based computing that provides shared computer processing resources and data on demand

be a job description explaining duties and responsibilities of each unit and position. 3. There should be a clear segregation between the unit with investment management function and the unit with back

notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of

in the mutual fund management scheme and prospectus: (a) the projection of incomes and expenses of the mutual fund which includes the following information: 1. key assumption applied which is clear and

is clear and easy to understand, including details on forecast and risks which may cause the return or the fund’s performance to be different from estimated; and 2. projection of rental income which is

and Clause 5 or Clause 6, as the case may be; (d) having a plan to report the results of the experiment and progress of service provision to the SEC Office on a continuous basis; (e) having a clear exit

services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action