highest responsibility in Accounting and Finance (“CFO") and the person assigned to the direct responsibility of supervising accounting preparation (“Chief Accountant") are required to have an education
committee to be lack of independence qualifications of independent director. In term of casting vote in the board meeting, it is considered a duty of director in supervising the company and voting on behalf
derivatives exchange shall establish the rules concerning members, measures for supervising members and persons registered with the derivatives exchange and working for members to comply with the rules and
promoting and supervising the derivatives intermediary, having obtained an approval [for establishment] from the Securiites and Exchange Commission. “ financial institution ” means a financial institution
the reporting plan specified in Paragraph 1(2)(d) of Clause 3; (6) supervising the operation to ensure compliance with the provisions of this Notification, including the governing laws or associated
1(2)(d) of Clause 3; (6) supervising the operation to ensure compliance with the provisions of this Notification, including the governing laws or associated regulations. Clause 5 An approved person
from and having registered [such establishment] with the SEC Office; (2) an association relating to supervision of a derivatives intermediary, of which objectives is for promoting and supervising the
Increasing Market Confidence Group 2: Measures for supervising inappropriate trading behaviors Measures Details Timeline 2.1 Disclose information on investors with inappropriate trading behaviors • To disclose
capital market products, investment management, management of the intermediary ’s branch office, supervising account of clients and making investment decisions for clients , operational function, compliance
capital market products, investment management, management of the intermediary’s branch office, supervising account of clients and making investment decisions for clients, operational function, compliance