technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] · notifying to the Office without delay in case appeared that have
needed time, including the fact that the company fails to provide appropriate computer system and personnel management adequate for supporting business operation. Any of the above mentioned risks may cause
of Directors. The information in the said matters shall clarify the directions and the determination to drive the business towards sustainability, as deemed appropriate by the Company, to be used as
securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an
Securities and Exchange Commission hereby issues the following regulations: Clause 1. The management company shall, in undertaking of fund management business, arrange to have an operating system which is
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
appraisal system are according to international practice; 3. Being an international asset appraisal firm with an extensive international network. 6. Future plan In the case where the Company or the subsidiary
Custodian dated 30 March 2001. Clause 2. In this Notification “Management company” means securities company licensed to undertake securities business in the category of private fund management. “Manager
which may affect the company’s credibility should it undertake fund management business, and whether the company has prepared for the operations of the branch office to be established, an operating system
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company