are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of investors’ interest as well

management that are entrusted for the management of investments work on the basis of integrity and prudence with knowledge and expertise of the professional to ensure the full protection of investors’ interest

operation; (7) Every delegatees that have been delegated by the management company to operate on its behalf should be supervised except for juristic persons holding a license to undertake securities business

globe. Throughout the year, the SEC assigned delegates to attend the IOSCO Committee 1 Accounting, Auditing, and Disclosure Meeting (IOSCO C1) to exchange dialogue on the exposure draft of international

role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the

to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which

regard to the Notification of the Capital Market Supervisory Board concerning the Issuance and Offer for Sale regarding Unit of a Real Estate Investment Trust stipulating that the REIT manager entrusted by

, including those entrusted by the company. Also, the procedures shall accommodate non face-to-face contact with the clients and the use of new or developing information technologies in securities business

to employees of the securities company, including those entrusted by the company. Also, the procedures shall accommodate non face-to-face contact with the clients and the use of new or developing

Details is entrusted to any person, the following statement and structure shall be applied: “To be used as an evidence that all documents are warranted by me, I entrusted