, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable
method of inspection on validity of such contract, etc.; (g) practice on internal inspection and control, performance inspection and hierachical risk report to the executive; (h) appropriate and reliable
) appropriate and reliable system for recording information and hierarchical information report to the executive; (i) procedure and method for controlling and monitoring the performance under the prescribed
opinions and information contained herein have been obtained or derived from sources believed to be reliable, but Research Department cannot guarantee its accuracy and completeness, and that of the opinions
again played a critical role in supporting the economy during times of stress, particularly, in acting as a reliable source of funding for businesses and governments. Flexible capital market policies and
financial profile, driven by solid operating performance and reliable streams of income. The ratings continue to reflect CPN’s leading position in retail property development and management industry in
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
aforementioned. Clause 6. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7
. Derivatives broker shall arrange to have an acceptable and reliable compliance unit. Such unit shall independently operate to monitor the operation of derivatives broker. Clause 7. Derivatives broker shall