engages in proprietary trading shall determine policies, rules and procedures for such matter in accordance with Clause 12(1) of the Notification on Standard Conduct of Business clearly in writing upon
management, operational management and internal control system which at least shall contain: (a) the policy and measure in writing; (b) the determination and amendment of such policy and measure each time has
management, operational management and internal control system which at least shall contain: (a) the policy and measure in writing; (b) the determination and amendment of such policy and measure each time has
company shall arrange to have the mutual fund supervisor inspect and certify in writing that such investment is an at arm’s length transaction under Clause 13(2).” Clause 5. The provision in (b) of (3) of
company shall arrange to have the mutual fund supervisor inspect and certify in writing that such investment is an at arm’s length transaction under Clause 13(2).” Clause 5. The provision in (b) of (3) of
)(g), the mutual fund management company shall arrange to have the mutual fund supervisor inspect and certify in writing that such investment is an at arm’s length transaction under Clause 13(2
members or does not want to be bound by the judgment, such person shall notify his or her wish in writing to the Court within the time period prescribed by the Court. The application of Class Action to the
; - Consider the accuracy and completion of the issues and notify the applicant in writing. Require the applicant to submit a written clarification within a period of at least 14 days but no later than 21 days
entity other than the SEC Office; (2) a criminal fine as deemed appropriate by the Criminal Fining Committee and notified in writing; 3 (3) a criminal complaint filed by the SEC Office with the inquiry
in a continued and credible manner. Good internal control Specify the scope of powers and duties and approval of transactions in a transparent form in writing. Separate the powers to approve, record