are developed or changed; (6) control people, processes, and technology associated with the development of information systems to ensure information security across the entire development lifecycle (7
are developed or changed; (6) control people, processes, and technology associated with the development of information systems to ensure information security across the entire development lifecycle (7
of Intermediary to Handle Clients’ Complaints and participation in the SEC Office’s project to resolve disputes by arbitration. 4.3 Having a business plan and an operating system for establishing a
Pursuant to the existing regulations on standard conduct of business, a securities and derivatives business operator intending to have a third party handle its partial business functions may do so in
followings; 1. Personal information of the complainant, e.g., full name, mailing address and phone number; 2. Power of Attorney form in case of authorizing another person to file complaint; 3. Details of the
the company to select a person with knowledge and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image of the
work related to fund management; (2) have selection and checking system before assigning a role to its personnel. Such system shall enable the company to select a person with knowledge (Unofficial
person with knowledge (Unofficial Translation) Page 2 of 4 and abilities suitable to act in the capacity so appointed. The person shall have no record of misconduct and behaviour which may affect to image
Notification: (1) “ representative ” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management
Notification: (1) “representative” means a person appointed by a management company as an agent for selling investment units or receiving requisition of investment unit redemption, and in case the management