exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
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
preparations for economic, social and environmental changes, which will lead to the increase in opportunities and competitiveness. The Company may provide a brief description as deemed appropriate. In addition
each including respective solution guidelines. 2.4 Under-construction projects Only in case of high-value, time-consuming projects or assignments such as building or ship construction projects, disclose
engagement/client’s relationship: · discussing with the appropriate level of client’s management /those charged with governance the appropriate action the firm may take; · if the firm determines that it is
securities underwriter after an offer for sale of the underwritten securities so that the underwriter shall be able to allocate shares in excess of the underwriting amount. Such proceeding will increase the
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
approved by high-level management. In this case, such system shall; (a) generate good control environment; (b) assess, administer and manage any risks which arise or may arisen from conducting business to be
, 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
and criticality such as the access control, encrypting sensitive information or information required a high level of accuracy; 2. In handling media under Clause 17, the intermediary shall take