, with a view to: (a) prevent dishonest acts of its personnel; (b) prevent the management company from violating or failing to comply with laws which may affect the overall creditworthiness of its business

, economic and political risk as well as regional risk of the countries in which they have invested. Since the aforesaid risks may affect the financial status of the securities company, it is deemed necessary

Notification. “ critical function ” means any activities related to services, transactions or any other functions of an intermediary, the disruption of which would significantly affect customers, business

activities related to services, transactions or any other functions of a securities company, the disruption of which would significantly affect customers, business operation, reputation, position and results

least once a year. In case of the occurrence of any event which may significantly affect the governance of information technology, the policy on the governance of information technology shall be reviewed

company; (2) Exercise voting rights at the shareholders’ meeting concerning the matters which may materially affect the interest of the mutual fund; (3) Arrange to have an effective operating system for

and clarify the risks of losing returns or rights or investment money, in whole or in part. The aforesaid risk factors include only those likely to affect the Company, the group of companies or the

function related to business operation which, in the event that a service provider ceases to provide services, fails to continue operation or is unable to provide services appropriately, may affect the

affect the company’s credibility should it undertake fund management business; (3) The management company has shown that it has prepared, for the operations of the branch office to be established, the

may affect the financial conditions or operations of the applicant; (3) Being able to show that at least one of its directors has work experience of no less than three years relating to gold; (4) Being