least. [A] ▪ Backup Information and frequency of preservation ▪ Media ▪ copy ▪ Procedure and method in detailed ▪ Place and method of media storage o Providing a log book of information preservation that
of operation for preventing conflict of interest and Chinese wall. (c) a method and procedure for controlling and monitoring the operation under (b). In case the applicant is a SC. and applies for
nationality ID card or passport, location, etc. Fee, transfer method, documents related to bank account opening ● Documents/evidence on an investment, for instance: Transfer documents such as a pay-in slip
method and with sufficient details of the practice and the course of actions in exercising of voting rights. Authority of the SEC Fund managers Mutual fund performance measurement Preparation of
Fund > Management of Mutual Fund > Procedure for dissolution of mutual fund Regulations SHARE : Detail Content Management of Mutual Fund 19. Procedure for dissolution of mutual fund 19.1 Causes for
Handling Procedure Samples of Documents or Evidence Matters under Supervision of Other Laws Whistleblower Inquiries Complaint Forms Complaints / Whistleblowers Matters under the SEC
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