in the making of key business policies; - ensuring the information disclosure of such companies is accurate and complete and in line with the disclosure rules of the Company with regard to, for example
shares sold of the Company. 1.2 Nature of Business 1.2.1 Income structure1 In case of more than one product line or business group, disclose the income proportion of each product line or business group
overall business operation of the Company or its group of companies. 2. Nature of business operation In case of more than one product line or business group, disclose the income proportion of each product
institutional client s; (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
or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to an
manager or higher who is responsible for the line of work which takes part in making decisions on securities allotment or the line of work which has an opportunity to obtain inside information relating to
shall cover all kind of potential risk occuring in the operation of business; (3) to protect against the use of inside information of units and personnel of the securities company (Chinese wall). By at
securities analysis ” means an article or research paper which is prepared by a securities company to give advice to investors, directly or indirectly, on the value of securities, the suitability of investment
) Limited company or public limited company of which the fund supervisor, its directors, managers or persons with power of management who are responsible for the line of work relating to being fund supervisor
) 8.1 Companies should arrange a training and communication on the BCP to relevant persons, either inside or outside, regularly, as well as shall test the BCP to be in line with an actual situation