company”. 4 Clause 5 In appointing a juristic person to be an agent for selling investment units or receiving requisition of investment unit redemption, the scope and limitiation of appointment shall be in
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
scope of work, duties and responsibility of executives and units. Clause 4/1.8 A securities company shall have independent director of at least one-forth of its board of directors. 6As added by the
inside information regarding securities issuers; (4) clear scope of work, duties and responsibility of executives and units. Clause 4/1.8 A securities company shall have independent director of at least
………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O
………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O
………………… company List of supplementary documents to the application for approval: O an organization chart of the company; O detail of scope of duties and responsibilities of the positions applied for approval; O
derivatives trading within the scope of investment pre-determined by their clients. In any case, provision of such additional services must comply with supervisory rules and investor protection guidelines. The
securities analysts to participatein fintech development/application processes;(4) Have control and inspection system for algorithm;(5) Have data management and governance;(6) Disclose scope
its scope of the review or audit by the TSF’s executives of the securities issuer for that the financial statement. However the auditor has performed his duties on auditing or reviewing and expressed