) The value of outstanding investment units is insufficient to accommodate the expenses for further investment management; (2) The nature of the sale of investment units, the number of unitholders or the

); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under

substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to

internal control is rectified as follows: (1) monitor, inspect and evaluate the effectiveness of the operating procedures of the work unit responsible for the following functions by an independent auditor

suspended and such securities company must not have any pending report. Such exemption shall desist when such securities company has resumed its business operation with the approval from the SEC or the Office

or partnerships under (1) or (2) that hold shares in an aggregate of more than ten percent of the outstanding shares of such company; (4) Limited company or public limited company of which the fund

revoked: O yes O however, such case has already been granted exemption by the SEC; O pending application for exemption from SEC; O other cases (please specify)…………………………………. O no 6.4 Being a director

number of outstanding shares are held by a commercial bank, securities business operator, derivatives business operator or holding company; (b) Any company whose 75 percent or more of its total number of

be deposited by clients as the margins for their outstanding derivatives positions shall be in accordance with the minimum rate or value prescribed by the derivatives exchange or the value calculated

center and other receivables such as a receivable of securities trading by cash who fail to pay within due period or a receivable pending under a composition proceeding or payment in installments. As for