custodian: (a) System for separating the private fund assets from the custodian’s assets, system for safe keeping of such assets, and internal control system to prevent the misuse of its client’s assets; (b

etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information

financial position, no sign of misconducts or no records which make it inappropriate for the company to expand its business by means of establishing a branch office, and no sign of misconducts or no records

the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls

appear that the securities company being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work

being ordered by the Office to rectify significant fault in its internal control system, monitoring and supervision system or the record keeping system relating to work operation, unless obtain a waiver

technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an

comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system

. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management

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