for clients' assets: an audit committee with a minimum of two members is mandatory. Securities companies without custody services for clients' assets: arrangements for any mechanisms or undertakings in
governance” involves relationship and other arrangements to ensure that intended outcomes of the company are defined and achieved. For corporate governance purposes, the board’s roles and responsibilities
view that the licensee has already provided arrangements for its operational system and human resources promptly for operating securities business in the category of investment advisory service as
governance” involves relationship and other arrangements to ensure that intended outcomes of the company are defined and achieved. For corporate governance purposes, the board’s roles and responsibilities
securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its operational system, human resources and working
Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its operational system and human resources promptly for operating securities business in the
securities business operation after the SEC Office, having completed its inspection, is of the view that the licensee has already provided arrangements for its operational system, human resources and working