derivatives exchange shall evaluate compliance with the rules and professional codes of ethics of such persons at an appropriate period of time and prepare a report on the evaluation results and actions against
rules or regulations; (4) evaluate members’ compliance with rules or regulations over a reasonable time period; (5) produce reports on the evaluation and actions taken against members who violate or do
Notification of the Capital Market Supervisory Board concerning Personnel in the Capital Market Business. Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and
– (a) the issuer's principal bankers to the extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer
provision of services as a securities clearing house or central securities depository to the extent that members or their clients, or any involved persons understand risks from use of the services, and shall
extent the issuer has a continuing relationship with such entities; (b) the sponsor for listing or issue manager to the offer; (c) the underwriter to the offer, if any; and (d) the legal advisers to the
documented information security policy which addresses at least the following matters: (1) policy on the use of cloud computing which covers the methods for selection and evaluation of cloud providers, review
evaluation and calculation of the value of assets of each fund shall conform to the generally accepted academic principles or international standards as set out by the association. The Office shall have the
appropriate to the current circumstances, subject to the rules, conditions and procedures as specified in the notification of the Office. The performance evaluation and calculation of the value of assets of