prevention of the conflict of interest and Chinese wall. - demonstrate in detail on the above mentioned measure, at least in the following matters: (a) an organization chart and scope of power, duty and

shall have a clear scope of work and shall not combined with other units which will lead to conflict of interest; □ (2) Procedures in controlling person in and out of the unit responsible for custody the

controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a

, registration fees, approval fees or operating fees; (3) the determination of scope and practices as regards the duties of the subcommittees and relevant officers under this Act; (4) the prescription of a

the purpose of compliance with this Notification, the SEC Office is empowered as follows: (1) issuing detailed Notifications under the scope of this Notification in order that any intermediary would

………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O

the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department

: ............................................................................................................................... 2. Starting Date of Operation: ............................................................................................................ 3. Details of the Company: 3.1 Scope of operation of the

under the scope of this Notification in order that any intermediary would comply with this Notification under the same standard. In this regard, the SEC Office may impose the detail for consistence with

, the management committee, the audit committee and the remuneration committee, and the scope of authority and responsibilities of each committee; (2) Identify the audit committee members who have