) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with
Rules for Operation of Derivatives Exchange
Rules for Operation of Derivatives Clearing Houses
Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar
Rules, Conditions, and Procedure for Granting Approval of Trust Managers of Infrastructure Investment Trusts and Operating Standards
Audit Committee of the listed company if there is any suspicious circumstance that indicates that a director, manager or the person responsible for the operation of the juristic person may have
shall be deemed to have obtained general permission and thus be exempted from SEC disclosure requirements. The relaxation is granted to those particular group of investors as they are considered
specified, and such committees shall not be responsible for the day-to-day operation. A securities company not keeping its customers’ assets in its possession is allowed to establish any mechanism or
, embezzlement and permission to prepare inaccurate accounts, which caused the GL financial statements to show an excessive amount of US54 million dollars in the loan transactions and thus the exaggerated interest