specified in the MMOU, and such regulatory agency has the legal power to render the assistance thereof to the SEC Office in accordance with the MOU. In this regard, the protection of interest of investors
paying dividend that is clear and conforms to the conditions prescribed in the prospectus including a reconciliation and balance for the protection of unitholder’s interest. Guidelines 1. There should be a
the business of the other party and the nature of such controlling power shall be depicted; and (b) The party that owns the funds does not want to obtain the legal protection under the provisions
infrastructure business operators; (b) being an infrastructure business whose operation generates benefits to the general public indirectly in the areas of health, environment, life safety and asset protection; (c
such services; (12) clients’ asset An intermediary shall arrange adequate protection for clients’ assets when it is responsible for them; (13) relations with regulators An intermediary shall deal with
[Referring to Item 4.2]; - backup [Reference to Item 8.3]; - cryptographic control [Referring to Item 6]. 3. Supervision of the operating personnel: - end user controls, for example: - protection of unattended
identity of the client , the ultimate beneficiary for the securities trading of the client , and the controlling person of the client , and consider and arrange sufficient information or evidentiary
to make the management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of
holder as the owner or beneficiary of a collective investment scheme established under foreign law, either in the form of company, trust or any other form. Clause 3 A licensee shall pay to the SEC Office a
Law on Derivatives ; (17) derivatives business operator under the Law on Agricultural Futures Trading; (18) international financial institution; (19) Deposit Protection Agency; (20) Stock Exchange of