. Corporate social responsibility 11. Internal control and risk management 12. Related transactions Part 3: Financial Position and Operating Results 13. Significant financial information 14. Management
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
the person who will become the mutual fund supervisor; (2) relationship between the mutual fund supervisor and the securities company; (3) arrangement of organizational structure and internal controls
operation to access the critical information system via direct connection to the organization’s internal network systems; “ teleworking ” means the operation which accesses the critical information system
technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
comprising of, at least, the following particulars: (1) organisational structure of the company; (2) availability of competent personnel; (3) fund management operation system; (4) internal control system
) an efficient system for receiving and executing trading orders; (4) an internal audit and control system for accepting trading orders outside the intermediary ’s offices, for example, internal audit
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information
securities or derivatives for the business operator’s proprietary trading including the business operator’s internal report relating to such investment, for no less than five years from the date the investment
, internal control and follow up measures to ensure effective implementation. Clause 4. Beside the qualifications prescribed under Clause 3, an applicant for derivatives business operator registration under