capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of being punished or legally proceeding against for management in the
_____________________________________________________________________ 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
_____________________________________________________________________ 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
Notification, of an applicant, directors, managers and administer directors including deputy managers, assistant managers, department directors and other persons with different titles but hold similar positions
the correctness, completeness and trustworthiness of the financial reports of the company. Opinions concerning the adequacy of the company’s internal control system. Opinions concerning the
) having internal control system which is 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
, administer and manage any risks which arise or may arisen from conducting business to be at a controllable level which have no impact on undertaking of fund management; (c) determine efficient control
prohibited characteristics: (1) having deficiency in legal competency, being subject to legal action under the law governing supervision of capital market, or lacking trustworthiness as specified as prohibited
governing supervision of capital market, or lacking trustworthiness as specified as prohibited characteristic in Group 1 under Clause 29; (2) having a record of legally proceeding against or being punished
and skills who is independent from the persons who formulate or administer the plan; (3) report the evaluation results under subclause (2) to the board of directors and the SEC Office within ninety days