person’s remuneration, as well as to attend a non-management meeting with an auditor at least once a year; (5) To review the Connected Transactions, or the transactions that may lead to conflicts of
the approval for the offering of structured notes shall be subject to the requirements under these two parts except for the structured notes under Clause 5 and in the case there are any conflicts or
connecting transactions or transactions that may have conflicts of interest to ensure that they are accurate, complete and in compliance with rules and regulations of the supervising agencies as well as
Operational Control _____________ Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of
Clause 4 A securities company shall establish efficient systems for internal control, risk management and prevention of conflicts of interest, and shall have a written code of conduct approved by the board
systems and application software, as well as take and test program source code at least once a year; (4) completely and sufficiently store and record logs for inspection of conflicts of interest in the
software, as well as take and test program source code at least once a year; (4) completely and sufficiently store and record logs for inspection of conflicts of interest in the organization, use of