approval from the board of directors of the intermediary or a committee assigned by such board of directors. Clause 5 An intermediary shall establish at least the following operating systems to support its
been [i] approved to establish or [ii] registered or [iii] managed by CIS operator being under the supervision of such agency. Clause 3 This Notification shall be applicable to a securities company
and adaptation aspects of financial products is not straightforward. The benefit of having an authoritative standard eases decision-making and focuses attention on credible climate change solution
Whistleblower Audit committee About us Corporate Governance Code 2017 Detail Content Principle 1 Establish Clear Leadership Role and Responsibilities of the Board Principle 1.1 The board should
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
Office of the Securities and Exchange Commission. CHAPTER I General Provisions Clause 4. A securities company, which custody client’s assets notwithstanding for the benefit of keeping, purchase, sale