interest and accessing inside information by unauthorized personnel [ii] internal control and [iii] risk management for undertaking precious metal derivatives brokerage including measure for controlling and
personnel in undertaking the business; and (5) being able to show that the clearing house which will provide the clearing and settlement services for the derivatives exchange to be established has been
of related parties. · ethical requirements; · the firm’s competence to conduct the audit , for example: · Firm personnel have knowledge of relevant industries or subject matters; · Firm personnel have
important matters for consideration on the firm’s competence to conduct the audit, for example: - Firm personnel have knowledge of relevant industries or subject matters; - Firm personnel have experience with
firm’s strategic and business plan. If yes, please describe. 2 How does the firm conduct the estimation of personnel needs (e.g. developing succession plan)? 3 How does the firm deal with the staff
Notification of the Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. Clause 5 In appointing a juristic person to be an agent for selling investment units or
management company shall appoint a natural person who has obtained an approval from the SEC Office in accordance with the Notification of the Capital Market Supervisory Board concerning Rules on Personnel in
Capital Market Supervisory Board concerning Rules on Personnel in the Capital Market Business. Clause 5 In appointing a juristic person to be an agent for selling investment units or receiving requisition