concerning the Determination regarding Definition of Institutional Investor, Ultra High Net Worth, and High Net Worth Investor ; “ client ” means user of an intermediary ’s services; “ Stock Exchange ” means
, conflagration, storm or epidemics. 9.5 Human-caused disaster, such as, terrorist, being caught as hostage or cyber attack. BCI Good practice guidelines http://www.thebci.org/ High-level principles for business
Operating Results 1. Organizational structure and operation of the group of companies 3 2. Risk management 12 3. Business sustainability development 13 4. Management discussion and analysis (MD&A) 17 5
concerning the Determination regarding Definition of Institutional Investor and High Net Worth Investor . “ client ” means user of an intermediary ’s services. “ Stock Exchange ” means the Stock Exchange of
and nature of the businesses operated by the Company or the group of companies which comprises the Company, its subsidiaries and associates being operated or to be operated, as the case may be. The
intensity of the procedures mentioned in Clause 9 (1) and (2) for each client in accordance with the client’s level of risk associated with money laundering (risk-sensitive basis). Clause 11 . Securities
and responsibilities of high-level management Chapter 2 Availability of competent personnel Chapter 3 Fund management operation system 3.1 Accepting of purchase or redemption orders of investment units
. Clear procedures to report mistakes or frauds to the superiors and high level executives. 4. Approach to solve problems immediately regarding keeping the client’s assets. 5. Person responsible for taking
intermediary . “institutional investor” 6 means an institutional investor under the Notification of the Securities and Exchange Commission Re: Determination of Definitions of Institutional Investor, Ultra High
acquisition of a business, unrelated to the operation of the current business. 3. To repay a loan or debt incurred from an issuance of debt securities. · In case of debt repayment to a group of financial