risk assessment to identify the operation of the Company or the subsidiaries exposed to potential corruption involvement; (2) Guidelines for controlling, preventing and monitoring corruption-related
company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up
efficient business operational process should be disclosed as well. The Company may also disclose the operating results, the outcomes and the action plan (if any) related to other social management as the
actions already taken in accordance with the anti-corruption policy in the following matters: (1) Business risk assessment to identify the operation of the Company or the subsidiaries exposed to potential
has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention
that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts of interest and accessing inside
characteristics as well; (6) demonstrating that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
and efficient management; (b) efficient policies and measures on prevention of conflicts of interest, prevention of access to inside information between responsible units and other personnel, internal
the amount determined by the Derivatives Exchange and are unable to offset such excessive position as informed by their derivatives agents will be exposed to the similar foregoing risk. 3.4 Risk