as practitioner members. To maintain the independence of the QARP and their opinions, the SEC requires that the number of the attending non-practitioner members in each session be greater than the
Commission No. OrNor. 7/2547 Re: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling
: Arbitral Process (No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund
(No. 3) dated 13 October 2004. Clause 3. In this Notification: “respondent” means any of the followings: (1) a securities company; (2) a local share selling agent; (3) a mutual fund supervisor; (4) a
modules of a software system 4. User Acceptance Test (UAT) Project Grand Total Related company name Paid Up Capital No. of shares Name of connected persons Share (s) in related company % of share in AEONTS
compliance with all relevant and applicable law and standards. (4) Review internal auditor’s independence, and approve the appointment and termination of the head of the internal audit function. Outsourcing
Appointing Independence Director of Securities Company or the Notification of the Office of Securities and Exchange Commission concerning Rules on Rendering a Waiver of Appointing Independence Director of
concerning Rules on Rendering a Waiver of Appointing Independence Director of Securities Company or the Notification of the Office of Securities and Exchange Commission concerning Rules on Rendering a Waiver
rendered a waiver of appointing an independent director under the Notification of the Office of the Securities and Exchange Commission concerning Rules on Rendering a Waiver of Appointing Independence
) Ethical requirement (ER): Compliance in this area was found insufficient in some firms, such as inadequate independence compliance testing due to the findings on incomplete identification of related parties