Guidelines No. NorPor. 4/2559 Re: Practical Guidelines for Business Continuity Management _______________________________ Reference is made to the notification of the Capital Market Supervisory Board No
shall be in compliance with Division 3 Treatment of Customer Property and Division 4 Protection of Customer Property of Chapter 2 of the Derivatives Act. Clause 9. In case the derivatives fund manager is
Requirements for All Types of Trust ___________________ Division 1 Trust manager and trustee ___________________ Clause 12 The trust manager shall meet the following requirement: (1) have no records of breaching
appointment of a marketing representative of private fund. Chapter 1 Appointment of a Representative ___________________ Division 1 3 Appointment of an agent for selling investment unit or receiving requisition
of private fund. Chapter 1 Appointment of a Representative ___________________ Division 1 3 Appointment of an agent for selling investment unit or receiving requisition of investment unit redemption
mutual fund management companies3. Chapter 1 General Rules ___________________ Division 1 Mutual Fund Supervisors ___________________ Clause 8 A mutual fund management company may change a mutual fund
case of inspection by an internal unit of the securities company, such internal unit must be independent from the computer division of the company. Clause 4. The securities company shall separate the
actions taken were as follows: Board of Directors Risk Management and Control Units Enterprise Risk Management Division Approve risk appetite and all risk management policies and guidelines Oversee