securities company may complies with other guideline, if the securities company demonstrate to the Office that such other guideline is capable of efficiently preventing risk in information technology of the
) the Government Pension Fund; (11) provident funds; (12) mutual funds; (13) juristic persons whose audited financial statement of the recent year demonstrate a capital investment exceeds one hundred
and a deficit, it shall demonstrate such items separately without setting off. /2 In case of the company have various categories of additional paid-in other capital (deficit), namely appraisal surplus
) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and staffs
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
the business of the other party but not in the manner under (1), the party that manages fund shall submit documentary evidence to the Office to demonstrate that: (a) One party has the power to control
incentive systems) with regard to its partners and professional staff are designed to demonstrate the firm’s overriding commitment to quality; · The firm devotes sufficient resources for the development
the operational procedure under (1); (3) in the case where a proprietary trading occurs during any of the following periods, the intermediary shall be able to demonstrate evidence proving that there is
the agricultural derivatives business license after 1 November 2016, the applicant shall demonstrate that its existing shareholding structure as of the issue date of the Cabinet’s resolution on the
company under Clause 3 shall be given an exemption from appointing an independent director upon compliance with the following rules: (1) Being able to demonstrate that it has a supervision policy of the