shall render the company is capable of efficiently preventing risk in information technology and it attain an assessment the risk in information technology in the better level. In Nevertheless, the
which satisfies the need of the users, and it shall communicate the development or change to all concerned persons for acknowledgement in order to be able to operate it correctly. Clause 8. The securities
solution first. (2) finalize the number of solvable and unsolvable complaints by category and inform the SEC Office for acknowledgement, on a quarterly basis, within fifteen days from the end of a quarter
, strategy, policy and operational plan shall be harmonized with fiduciary duties and good corporate governance principles. Clause 3. To attain the availability of competent personnel, the management company
financial position as specified under Clause 4 (1), the custodian shall notify to the Office and client within the day following the date of acknowledgement that the financial position cannot be maintained
to ensure that the acknowledgement of information is accurate and not misleading. Clause 19. To protect the interest of investors with regards to the information presented to them, the Office may order
advertisement; (3) clarify complete and accurate information to investors; (4) act or refrain from doing any acts within a specified period of time to ensure that the acknowledgement of information is accurate
by the intermediary itself. Clause 27 An intermediary shall arrange the evidence of [i] communication with or providing services to a client , [ii] any warning or [iii] signing acknowledgement or
computer network systems; (5) communicate protection measures with the users and arrange for the users to sign for acknowledgement and awareness of usage risks and the guidelines to control such risks; (6
assets, the securities company shall act as follows: (1) inform its clients and request them to sign upon acknowledgement of the client’s practice in depositing or withdrawing assets with or from the