the conglomerate pursuant to Clause 13(5), is to change its shareholding structure to the extent that it is unable to maintain such status but intends to continue undertaking the derivatives business as
. Clause 21 In the case where the licensee, being required to maintain its status of legal entity in a conglomerate pursuant to Clause 13(5), is to change its shareholding structure to the extent that it is
structure 11. Corporate governance 12. Social responsibility 13. Internal control and risk management 14. Related party transactions 2.4 Financial position and operating results 15. Important financial
for acceptable use of IT assets ; (3) in case of any change to the responsible person or unit, protection roles and responsibilities to relevant IT assets should be reviewed. Clause 16 IT assets
that the securities company is able to demonstrate establishment of the organizational structure which does not cause conflicts of interest or provision of an effective measure to prevent such conflicts
professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
written by such board of directors. In case of any material amendment, change or modification to such policy and plan, intermediaries shall comply with the requirement set out in the first paragraph (1) or
board to be in charge of the implementation of the business continuity management policy. In case of any material amendment, change or modification to the business continuity plan, the securities company
guideline for the operating system of management company shall comprise of 4 chapters as follow: Chapter 1 Organisational structure of the company 1.1 Segregation of work units and responsibilities 1.2 Roles