Notification of the Capital Market Supervisory Board concerning Personnel in the Capital Market Business. Clause 4 A management company shall arrange the evaluation of fund performance on a regular basis, and
and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance inspection as follows: (1) Communicate with the related personnel to be
personnel of the policies and the practices as well as a procedure for continuous and regular monitoring and amending of the policy. 3. The management should determine the guideline for conducting compliance
a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved and inspected by the SEC
client shall be reviewed on a regular basis. A securities company shall maintain complete documentary evidence as prescribed in Paragraph 1 and Paragraph 2 in such a manner that can be promptly retrieved
repayment ability and the trading limit of each client on a regular basis. Clause 28 The derivatives broker shall maintain complete documentation with respect to the undertakings in Clause 20, Clause 21, and
information on the client, the beneficial owner and the person controlling the derivatives trading, as well as review the repayment ability and the trading limit of each client on a regular basis. Clause 28 The