communicate among relevant persons either inside or outside companies Companies shall determine methods and channels for communication, a list of relevant persons either inside or outside companies, responsible
. (Acceptance and Continuance of Client Relationships and Specific Engagements) 5. (Resources) 6. (Engagement Performance) 7. (Information and Communication) 8. (Monitoring and Remediation Process)
relevant standards of business operation; (3/1) having systems for communication with and providing services to a client at least in accordance with the rules as prescribed in Clause 25/1; (4) having
requirements as specified in the Notification of the Securities and Exchange Commission concerning Operating System, Communication with Investors and General Performance of Trust Business as well as the rules
shareholders and stakeholders, covering protection of shareholders, equitable treatment of shareholders, promotion of shareholders’ right exercising, prevention of the use of inside information, prevention of
; (6) “inside information” means material facts which affect the change in the price of securities but have not yet been disclosed to the public and a securities company has acquired during the course of
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business: (1) risk management system; (2) investment control system; (3) system for preventing access to inside information