, 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

the respective attachments herein. (2) Disclose the opinion of the Audit Committee on the appropriateness and adequacy of the person holding the position of the internal control unit head with regard to

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

which has similar supervision to that of the Office; (6) “Company” means any limited company or public limited company; (7) “Holding company” means any company undertaking core business in holding shares

mean any person holding equivalent position called otherwise and such person shall be responsible for a line of work relating to provision of securities services, securities operation or research on

of information which should not be disclosed between units and personnel (Chinese wall), a system for internal audit and internal control. Such policies, rules and practices shall be prepared in

hundred million or more in securities as per the audited financial statements for the most recent year; (14) Juristic person in which the shareholders are such persons under (1) to (13) holding shares in an

director, deputy manager, assistant manager, department director, branch manager and shall also mean any person holding equivalent position called otherwise and such person shall be responsible for a line of

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

advisory service, ranging from the level of the department director to the manager; “department director” means any person who is responsible for the internal operation of a department in the company