general application, irrespective of national legislative frameworks or listing rules. As global recommendations, they should be read with an understanding that local rules and cultural norms may lead to
the Office of the Securities and Exchange Commission concerning Granting of Approval of Financial Advisor and Scope of Work, and monitor, supervise and give advice to 17 the applicant regarding
in Clause 7(1); (2) as soon as possible in case of information as prescribed in Clause 7(2). 4 Clause 11 A securities company shall supervise its personnel to comply with this Notification, and
risk management. 4. There should be an establishment of a compliance unit to supervise and monitor the operation that is independent from the management and other units. 5. Operation conducted with
on prevention of conflicts of interest (“COI”) in managing a mutual fund as well as to monitor and oversee acts that may cause COI, unfair characteristic or cause unitholders to lose the interest that
board. The chairman’s duties should at least cover the following matters: (1) Oversee, monitor, and ensure that the board efficiently carries out its duties to achieve the company’s objectives. (2
market conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties
conduct; (6) competent staff readiness An intermediary shall provide the competent personnel with the suitable amount for the business operation, and shall supervise its personnel to perform duties in