operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
established under specific laws or any legal entity licensed to undertake finance or commercial banking business. “electronic data” means statements that are created, sent, received, stored or processed through
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
) the Financial Institutions Development Fund; (j) the Government Pension Fund; (k) a provident fund; (l) a mutual fund; (m) a juristic person whose audited financial statements of the latest year record
establishing and managing Yes No the representative office abroad. 3.3 Having a ready working system comprising at least operational Yes No management, compliance and information management, and competent
past three years and the latest quarter or such shorter period that the company has been in operation: Specify the information in the consolidated financial statements, with only key figures and
referential exchange rate and the currency used in the financial statements. Remarks : (1) In the case where the securities issuing company has changed its shareholding structure or the operational framework or
case that the Company consists of subsidiaries or affiliates, the following information is required: - Policy on operational organization within the group of companies; - Shareholding diagram of the