) having internal control system which is approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or
, administer and manage any risks which arise or may arisen from conducting business to be at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control
Notification, of an applicant, directors, managers and administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions
derivatives position of each member and client; (c) a monitoring and reporting system with respect to derivatives positions of members and clients whose positions reach the level specified by the derivatives
_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of directors and the SEC Office within ninety days from the day the testing is completed. Clause 36 In
problem of purchasing power and incomes which have not yet recovered. Furthermore the liability stayed in high level and this was slightly speeded up the consumption. Therefore, it affected the expense
) evaluated by a person with required knowledge and skills who is independent from the persons who formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of
household income were decreased, together with household debt that remained stay in high level, therefore it caused the decrease of household sector’s purchasing power continually. While the investment of