their investment money plus benefits. Afterward, they repeated the same method by persuading the clients to continue investing in order to seek unfair personal gains all over again. In addition, some of
significant case effect to the security of the information technology [M] · proving a method or compliance guideline support to compliance with the prescribed policy [M] · determining clearly duties and
without delay in case appeared that have significant case effect to the security of the information technology 1 [M] o proving a method or compliance guideline support to compliance with the prescribed
major operational disruption; (3) Procedures for communications with relevant internal and external parties which at minimum shall include the method and channel of communications and information
securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate sufficient resources to support the implementation of the policy. Clause 5. A
approved by its board of directors. UNOFFICIAL TRANSLATION Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
continuity management that is approved by its board of directors. Clause 4. A securities company shall establish measures to control and monitor compliance with the policy set out in Clause 3 and allocate
Exchange Commission No. 30/2558 Re: Approval of Foreign Auditors in the Capital Market. 2. I will closely monitor the applicant to perform an audit work in giving opinions on financial statements with
To ensure that asset management companies primarily manage funds for the investors’ benefits, SEC has revised the regulations in order to control and monitor mutual fund management by requiring
the Office. (3) Supervise and monitor to ensure that its personnel perform in compliance with the laws on derivatives and rules issued under such laws, including rules as specified by the association