currency, the intermediary shall comply with the following rules: (1) To provide services within the scope of each type of license granted to the intermediary; (2) To arrange for clients to access the
scope of work, duties and responsibility of executives and units. Clause 4/1.8 A securities company shall have independent director of at least one-forth of its board of directors. 6As added by the
inside information regarding securities issuers; (4) clear scope of work, duties and responsibility of executives and units. Clause 4/1.8 A securities company shall have independent director of at least
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department
issuer and those who have an opportunity to make use of such inside information ; (4) clear scope of authority , duty and responsibility of directors, executives and work units. Clause 7 A securities
access inside information of a securities issuer and those who have an opportunity to make use of such inside information; (4) clear scope of authority, duty and responsibility of directors, executives and
& Compliance Management 4. Regional Payment & Settlement 5. Data Analytics 6. Cyber Security 7. Performing Talent and Agile Organization 8. Modern World Class Technology Capability STRONG TRUSTWORTHY BRAND
. Notification of the Office of the Securities and Exchange Commission Concerning Granting of Approval of Financial Advisors and Their Scope of Work ______________________ Whereas the notifications issued by the