(Chinese Wall), internal control and risk management in undertaking gold derivatives brokerage business, including the measures to control and monitor compliance with the established policy and measures; (8
issued under or prescribing guidelines for compliance with the Notification of the Securities and Exchange Commission No. KorThor. 10/2550 Re: Short Selling of Securities relating to ETF Mutual Fund, dated
, orders and circulars issued under or prescribing guidelines for compliance with the Notification of the Securities and Exchange Commission No. KorThor. 10/2550 Re: Short Selling of Securities relating to
Office. Clause 9 All Notifications of the Office of the Securities and Exchange Commission, orders and circulars issued under or prescribing guidelines for compliance with the Notification of the
compliance with the Notification of the Securities and Exchange Commission No. SorThor. 2/2549 Re: Preparation and Maintenance of Information Relating to Derivatives Trading dated 8 February 2006 which have
guidelines for compliance with the Notification of the Securities and Exchange Commission No. SorThor. 2/2549 Re: Preparation and Maintenance of Information Relating to Derivatives Trading dated 8 February
guidelines for compliance with the Notification of the Securities and Exchange Commission No. SorThor. 2/2549 Re: Preparation and Maintenance of Information Relating to Derivatives Trading dated 8 February
guidelines for compliance with the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 4/2548 Re: Qualifications and Other Prohibited Characteristics of the Executives of Securities
prescribing guidelines for compliance with the Notification of the Securities and Exchange Commission No. KorThor/Nor/Khor. 37/2548 Re: Qualifications and Prohibited Characteristics of Executives of Derivatives
Principle 6 Act Collectively with Other Investors and Stakeholders as Appropriate 50 Principle 7 Regularly Disclose the Investment Governance Policy and Compliance with the Policy 51 REFERENCES 52