Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted

, executives, employees and others 8. Report on key operating results related to corporate governance 28 9. Internal control and related party transactions 33 Part 3: Financial Statements 36 Part 4

transparent disclosure of information related to execution of trading transactions which includes sufficient, fast and appropriate disclosure of pre-trade information (if any) and post-trade information; (d

different situations. (4) compliance system: (a) arrange to have compliance officer and compliance unit to support and inspect investment management and related work to be in accordance with laws, code of

Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of

structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial

audit and counterbalance the operation and to prevent any transactions which may give rise to a conflict of interest, including keeping documents and evidence relating to the operation to facilitate the

Transactions attached hereto. In this regard, personnel performing duty under Clause 4(1) (2) or (3) and granted a waiver by the SEC Office shall be exempt. Clause 14 Personnel in the capital market business

undertake securities dealing that is limited only to debt instruments. “institutional client” means the following persons who undertakes transactions with a securities company in securities brokerage or

the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and