(MMOU); (b) a regulatory agency on securities or derivatives which has already signed memorandum of understanding (MOU) with the SEC Office concerning mutual assistance at a level not less than as

services, more than those should be received or rewarded in normal commercial practice; (7) supervises to prevent improper use of intermediary ’s resources for wrongful action or support of such action

of the Office, the determination of salary and other remuneration as well as welfare and assistance; (5) any other activities to be implemented according to the objectives of this Act. All rules

assistance and support to enable the SEC Office to complete the actions thoroughly, and the SEC Office shall coordinate and notify the official receiver of the said actions before the official receiver shall

such security systems in a good condition on a regular basis; 4. The intermediary should closely monitor and control external party support service personnel working in the secure areas; 5. The

client is the same person as the one appearing in the documentation in support of the application, and verify the identification of the client, the beneficial owner, and the person controlling the

management of information technology resources which covers the allocation of resources to ensure sufficiency for business operation and establishment of guidelines to support incidents where the resources are

Capital Market Supervisory Board concerning Personnel in the Capital Market Business . Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and disclose the

and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be

securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly