establish rules in writing, which are approved by its executive committee or board of directors, on the following matters: (1) effective systems for internal control and prevention of conflicts of interest
, telecommunications networks or satellite services. 7 Clause 12 An intermediary shall establish information security of the business continuity management in accordance with the following criteria: (1) determine
statements on a regular basis. This is to ascertain that the financial reporting is prepared in accordance with financial reporting standards and properly disclosed. In 2017, the SEC mandated two listed
wipe-out, etc.; (3) determine the types of application services that allow using via mobile devices. Establish a measure for control of access to such application services by taking into consideration
involved in a credit rating committee. garding the creditworthiness of an entity or obligation, expressed using an established and defined ranking system. to determine an initial credit rating, an upgrade of
February 2001. (Unofficial Translation) Page 7 of 12 securities broker of the client, the securities company shall establish the methods and procedures for considering the application for account opening and
Debt Instruments (No. 2) dated 15 February 2001. (Unofficial Translation) Page 7 of 12 securities broker of the client, the securities company shall establish the methods and procedures for considering
every level. - Determine and communicate the unambiguous expectation along with the definition for each factor being used in performance evaluation. - Establish the committee to consider the promotion and