, and the names of competitors (only in the case of duopoly or oligopoly), etc. (3) Procurement of products or services Describe an overall procedure for procuring products for sale during the preceding
matters should include a comprehensive flowchart of the overall business structure of the majority shareholder. Also required is information on the rationale and opportunity or necessity for mutual reliance
operation to access the critical information system via direct connection to the organization’s internal network systems; “ teleworking ” means the operation which accesses the critical information system
direct connection to the undertaking of securities or derivatives business; “ intermediary ” means a securities company or derivatives intermediary, excluding venture capital fund management company or
condition of such relationship including the characteristics of business relationship. Clarifications on the said matters should include a comprehensive flowchart of the overall business structure of the
, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business
investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of each client and the
or damage on investors or the overall capital market, covering the following matters: (a) types of eligible clients; (b) maximum number of eligible clients; (c) maximum amount of investment money of
) determining a compliance plan and operational procedures clearly, which should cover the overall business operation upon approval of the board of directors or the executive board. In this regard, the compliance
securities to the SEC Office within [the following] specified period by indicating the following details: (1) 15 days as from the end of each month having the offer for sale of debt securities. In connection