experience with relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; · The firm has sufficient personnel with the necessary competence and
subject to the strictures of fiduciary duty and if such requirements are not applied what lower standards of required behaviour are appropriate. Ultimate owners cannot delegate their underlying fiduciary
Experiment and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________
and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________ By
from a person who is required by law to specifically take responsibility. - The debenture holder representative or the mutual fund supervisor fails to act in compliance with his or her power and duties
of Assets. The transaction value is equal or more than 15 percent but less than 50 percent. Consequently, the Company is required to immediately disclose the information memorandum on the entering into
transaction according to the Notifications on Acquisition or Disposal of Assets. The transaction value is equal or more than 15 percent but less than 50 percent. Consequently, the Company is required to
management of information technology systems as well as the security of the information system is an essential issue in order to prevent the risks that may occur from cyber threats. Therefore, SEC has