administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions, who are responsible for the asset custody function
_____________________________________________________________________ Remark : The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
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
or higher more than three cases, unless obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under
obtain a waiver from the Office. Such punishment shall not include the wrongdoing that was founded by the company and forward to the Office for proceeding. Under the first paragraph “investor contact
person on a case-by-case basis. Such specified period of time shall not exceed five years from the date when such person is released from such punishment under the judgment, or from the date when the
jurisdiction or being prosecuted as a result of such complaint, or [ii] having been imprisoned by the final judgment of a court regardless of whether the infliction of punishment has been suspended, and having
or [ii] imprisoned by the final judgment of a court regarding the following offences regardless of whether the infliction of punishment has been suspended, and having been acquitted of the imprisonment
the court .……….., case pending adjudication No. .……/25.. and adjudicated case No..……/25.. between.……………. and………………………………… for an offence of ……………………………………..…….. Punishment inflicted
intermediary shall have measures for correctness [of fault action], control [of impact] and punishment [for wrongdoing] in proportion to the seriousness of their actions. Clause 9 In case the association