business and credit foncier business; (3) securities company under the law on securities and exchange ; (4) life insurance company under the law on life insurance; (5) financial institution set up under
rotation, and set up the monitoring activities of the database, to ensure that the auditor rotation plan is coherent with the Code of Ethics for Professional Accountants and the firm’s policy. If the
Operational Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well
Control ---------------------------- Clause 6 The derivatives broker shall set up its organizational structure, and formulate its policies, scopes of authority, duties, and responsibilities, as well as the
securities underwriting. Clause 5 A securities company shall set up a work unit responsible for custody of clients’ assets which is independent from a work unit responsible for securities trading (front office
to the registrar according to the rules and procedures prescribed by ministerial regulations. If a provident fund which has been set up before the effective date of this Act is intended to be a fund
regulations. If a provident fund which has been set up before the effective date of this Act is intended to be a fund under this Act, it shall proceed in accordance with the first paragraph. Section 7. A fund