chief executive of the intermediary ; (3) a complete and updated evidentiary documentation of the operational function outsourced to the service provider shall be maintained in such a ready manner for

country, identify the name of such stock exchange and whether or not it is the main stock exchange. 5.5 Financial institution with regular contact (only in case of debt securities offeror) Part 2 Corporate

regular review as to adequacy of measure and system for preventing and managing conflicts of interest as prescribed in sub clause (2). Additionally, in case there is an occurrence affecting the preventing

securities company shall provide an operation control measure for the regular computer operation in order to render the computer system and data processing to be capable of operating continuously, correctly

pursue skill and knowledge enhancement on a regular basis to be able to handle ever-increasing innovations in the securities business. This will not only benefit investor contacts in their performance of

Company and their experience in reviewing financial statements. 11.3 Selection and appointment of directors and chief executives (1) Independent director - Specify the selection criteria, i.e

prescribed in sub clause (2); (4) determining for regular review as to adequacy of measure and system for preventing and managing conflicts of interest as prescribed in sub clause (2). Additionally, in case

assets in writing. 2. Regular assessment of the internal control system to prevent the misuse of the client’s assets, in accordance with Chapter 2, to ensure that the system is suitable and effective. 3

such article or research paper in the underwritten securities, provided that such statement shall be distinct, easy-to-read, and not smaller in size than the regular font used in such article or research

size than the regular font used in such article or research paper, and shall be on the same page of the summary of such article or research paper or at a nearby position which can be seen clearly. Clause