diligence; 2 (3) management and control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial
control An intermediary shall take reasonable care to organise and control its affairs responsibly and effectively, with adequate risk management systems; (4) financial prudence An intermediary shall
biography of the audit committee. The audit committee number 1 has adequate expertise and experience to review creditability of the financial reports. The audit committee of the company has the scope of
: Rules, Conditions, and Procedures for Operation of Securities Clearing Houses and Central Securities Depositories dated 3 August 2016 with respect to the procurement of adequate financial resources for
August 2016 with respect to the procurement of adequate financial resources for covering risks and the detailed operation concerning the risk management. Clause 3 The derivatives clearing house shall
has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention
acts as the oversight body, is overseen by an independent body. Such an auditor oversight body must operate in the public interest, and have an appropriate membership, an adequate charter of
securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information concerning operation of securities
securities company has prescribed securities company to have efficient internal control system, adequate securities system that is adequate for preventing unauthorized person to know or amend information