the proceeding power ” means an official receiver and the SEC Office. “ client asset account ” means an account of a client’s assets prepared by an intermediary in accordance with the law on derivatives
information which should not be disclosed between units and personnel (Chinese wall). The policies, rules and practices shall be prepared in writing with an approval from the company’s board of directors
. The financial statements under the first paragraph shall be prepared under the criteria as specified in the notification of the SEC and shall be audited with an opinion rendered thereon by a certified
records of clients’ assets as prepared by the securities company. For the clients’ assets which are not kept by the securities company itself, the securities company shall put in place a system to retrieve
done without any ground to believe that its financial status may cause damage or any circumstance indicates an ongoing financial problem; (b) capability and readiness for operational function which shall
in such a way that the screening and selection of a service provider would be done without any ground to believe that its financial position may cause damage or having any circumstance that indicates
policy and guidelines on corporate governance and unabridged code of business conduct prepared by the Company Attachment 6: Report of the Audit Committee Part 1 Business Operation and Operating Results
allocation prepared prior to investment. 3.2.3 Monitoring and Control of Investment (1) Having an early warning system to ensure that investment has been done in accordance with investment limit of each scheme
development plan and monitor the implementation of the plan which may be done in a prioritized order. 11.8 Other matters related to compliance with the CG code The Company may disclosure other actions in
not be a director, officer or employee of the securities company. The securities company shall publish its balance sheet and profit and loss account prepared in accordance with the first paragraph for