asset, such policy and types of assets to be invested have to be specified clearly and complied with the rules as prescribed in Clause 13. Clause 11 The essential covenants in part of method for acquiring
services essential in contacting with the securities registrar and such publications shall be posted in a prominent place at the office of the securities registrar; (3) establishing an internal control
an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security of the
Internal Control Sufficiency Evaluation Form Concepts and Objectives Good internal control is essential for a listed company or a public company as it can help preventing, managing, mitigating risks
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
the associated person thereof (if any), at the end of the accounting year. However, information concerning such associated person should also be clearly clarified. In the case where the REIT Manager is
case where securities company offer a firm quotation, such securities company shall; (1) Purchase or sell with such offering price and shall making a clearly understanding with counter trader about the
conditions agreed provided that the securities company clearly explain the ground of refuse to the counter trader. Clause 11. The securities company shall not mislead counter trader about the essential details
, strategy, policy and operating plan of the company and units of the company should be clearly prescribed and conform to the fiduciary duties and good corporate governance with an aim to enable the management