are reliably and trustworthy, the Securities and Exchange Commission hereby issues the principles for undertaking business as follows: (1) honesty, fairness and integrity An intermediary shall conduct
investment unit redemption of gold ETF : (a) risk management system; (b) internal control system; (c) security system for investors’ information in order to prevent unrelated and unauthorized persons from
authorities to customers or unrelated persons. Chapter 4 Record Keeping and Retention of Records ______________________________ Clause 22. Securities company shall maintain and record all documents and
control system; (c) information security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from ascertaining non-public information between the service
; (c) information security system to prevent unauthorized and unrelated persons from accessing or amending information as well as from accessing non-public information between the service provider’s unit
system for retain documents relating to payment to the fund, trade date, and payment out of the fund to the member that is easy to search and secure from unrelated persons and having control on correction
acquire assets or business unrelated to the operation of the current business: explain the reasons and backgrounds for the acquisition of such assets or businesses as well. 2. To acquire assets or finance
, investment status and the approximate spending amount. In case of acquiring assets or investment in a business unrelated to the current one, clarify the reason(s) and the background of such asset acquisition
above items namely entertainment expense, deferred debit unrelated directly to business operation etc., including other expenses which classified as an extraordinary items namely loss from corruption of a