directors and chief executives: specify whether or not the selection of persons to be a director and chief executive is through a nominating committee, the number of directors representing each group of major
business growth rate in 3-5 years 2. The executive should prescribe key policies in supervising the undertaking of fund management business in writing with an approval from the board of directors of the
share of my audit clients or its related entities; 2. My immediate family members, including spouse and children, and I are not director, executive or representative of my audit clients or its related
providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives
etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information
gift, a right or any benefit; (3) shall have explicit rules and conditions for allowing a gift, a right or any benefit which is easy to understand, not misleading, proper and fair; (4) shall notify
Commission Notification of the Office of the Securities and Exchange Commission No. OrThor/Nor/Khor. 11/2548 Re: Practical Guideline on Application for Approval and Approval for Appointment of an Executive of
different situations. (4) compliance system: (a) arrange to have compliance officer and compliance unit to support and inspect investment management and related work to be in accordance with laws, code of
service provider is required; (2) a complete and updated summary report of the operational function outsourced to the service provider shall be prepared and submitted to the chief executive officer of the
licensed to undertake securities businesses under the law on securities and exchange; “Executive” means director, manager or person with power of management; “Person with power of management” means executive