for more clarity in practice and for the SEC Office’s examination of such matters. Clause 31 In cases where the SEC Office finds that a securities company violates or fails to comply with this
in detail relating to the matters prescribed in this Notification for more clarity in practice and for the SEC Office’s examination of such matters. Clause 31 In cases where the SEC Office finds that a
Notifications for the purpose of clarity in practice and for inspection by the SEC Office. Clause 34 In the case that the SEC Office finds that a derivatives broker violates or fails to comply with this
, the SEC Office shall have the authority to prescribed and notify any detailed criteria on the matters prescribed in this Notifications for the purpose of clarity in practice and for inspection by the
sufficient clarity to enable the identification and assessment of risks relating to objectives. Questions Yes No 6.1 The company is able to comply with the generally accepted accounting principles which is
. Clarity The definition, perimeter and underlying methodologies for all the selected KPIs are defined and disclosed in the Framework and in internal documentation. For KPI 1 and 2, the Issuer’s methodology
to promote clarity in practice and for the Office to effectively monitor the operation. Clause 26. In the case where the Office finds that that any securities company violates or fails to comply with
subject as prescribe in this Notification in order to promote clarity in practice and for the Office to effectively monitor the operation. Clause 26. In the case where the Office finds that that any