entrusted to perform the duty for a securities company. Clause 3/2. 7 Clause 16 shall apply to the securities dealing which are not debt instrument mutatis mutandis. Chapter 1 Operational Control Clause 4. A
) Re: Electronic Conferencing, per the following details: From the existing Article 5. All shares in the Company shall consist solely of ordinary shares entered in name certificates and shall be fully
recording, and there shall be the meeting control system in accordance with the applicable laws. The directors attending the meeting of the Board of Directors via electronic devices under the abovementioned
effectiveness of pandemic control and vaccine development, the economic damage may be worse than what was seen during the 1997 financial crisis. Given volatility in the financial market and real sector which had
Requirements | - |- Online Submission | - |- Standard Practices | - |- Risk Control | - |- Compliance / Internal control | - |- Conflict of interest | - |- Complaint Handling | - |- Information Technology
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business : (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business: (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
proprietary trading under Clause 12(8) of the Notification on Standard Conduct of Business: (1) risk management system; (2) investment control system; (3) system for preventing access to inside information
take control over appointment or removal from office of a director of such company; (c) a person who by behavior can take control over a person responsible for policy making, management or operation of
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