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
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
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
technology system by independent unit once a year at least by an internal unit of the securities company or by an outsider inspector [M] · notifying to the Office without delay in case appeared that have
is an affiliated company ; (3) internal audit only if the outsource operator is an affiliated company or audit firm; (4) compliance function only if the outsource operator is an affiliated company ; (5
advisory service, ranging from the level of the department director to the manager; “department director” means any person who is responsible for the internal operation of a department in the company
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company
under Appendix Khor) 2. Having effective internal communication channel within the company that may notify the related persons in due course 3. Preparation of backup information stored in the computer
subsidiaries is disclosed accurately and completely, and has supervised compliance with such disclosure system; (3) The Company has provided an efficient internal control system, supervised compliance with the
participates in anti-corruption projects such as CAC which require similar procedure, the Company may disclose the proceeding or progress report by referring to the operation under such projects. 13. Internal