specify the type thereof): ..................................................................... Branch of a foreign commercial bank 2 Others (Please specify, ex., non-juristic group of persons
Business , an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
Business, an intermediary shall set out procedures and methods for such compilation and assessment thereof in writing, which shall at least contain details in compliance with the rules under Clause 7 or
and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity in case another intermediary fails to
be in accordance with the following rules and conditions: (1) there shall be management of risks arising from outsourcing thereof; (2) there shall be a preventive measure to ensure business continuity
and executives of securities issuing companies as a result of lacking trustworthiness for being director and executive of the companies thereof, as prescribed by the Notification of the Securities and
a juristic person, the directors or partners of such juristic person shall also not have the prescribed prohibited characteristics thereof; **(4) having sufficient readiness for providing services and
of such juristic person shall also not have the prescribed prohibited characteristics thereof; 5 **(4) having sufficient readiness for providing services and ensuring that the services provided to