order that an intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably
intermediary obligates to operate its businesses properly, fairly and in compliance with codes of conduct and professional standards and in order that an intermediary’s services are reliably and trustworthy, the
appoint competent officers to perform duties in accordance with this Act. Such ministerial regulations shall come into force upon publication in the Government Gazette.
) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The organisational structure of the company shall be
least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system. Clause 2. The
appropriateness of the existing one), the companies should provide the explanations and solutions from such findings. 1 COSO is a joint committee of 5 professional associations including the American Institute of
; (5) Having passed the fundamental knowledge examination on the subjects of securities and exchange laws, the relevant rules and regulations and professional ethics and standards, which is administered
life insurance; (c) any other financial institution as prescribed by the SEC Office; (3) “professional code of ethics” means: (a) professional code of ethics established by the Federation of Accounting
to the accounting standards as specified by a professional institution approved by relevant government authorities and in accordance with additional regulations specified in the notification of the SEC.