directors and containing at least details as specified in the provisions under Clause 8. The policy shall be reviewed on its efficiency and appropriateness at least once a year or promptly upon occurrence of
shall not be effected, which increase the efficiency in managing its cost. The Office, therefore, has amended the prescription concerning working procedures and conditions for securities company on using
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
Notification is to prevent risks associated with the operations of derivatives brokers and the trading and settlement system of derivatives exchange as well as to enhance operational efficiency of market makers
; □ (2.3) Personnel planning for business expansion (if any). In the case where no personnel has been hired, the applicant shall submit the criteria for qualifications of such position. □ 5. Other supporting
position to be as required by the rules, and receives the permission from the Office to expand their business operation For the purpose of the first paragraph hereof, “Expansion of operation” means: (1
from the Office prior to such expansion or change. In the case where the management company has been permitted to establish a branch office which is not an online branch, the management company shall
starts its operation; (4) not being ordered by the Capital Market Supervisory Board or the Office to restrict its business expansion or cease its operation, or in the process of rectifying its operation by
the efficiency of corporate governance and that the Company’s corporate governance standard increased in accordance with the CG Code 2017 for listed companies; 6.3.2 In case of not yet implementing the
be applicable to the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary . In this regard