notification is implemented/enforced practically, transparently and effectively. 10. Seek approval from SEC Board/CMSB/SEC Office before the notifications become effective * 11. Publicly disclose in the
that the organization structure of is designed or efficient measures installed to prevent conflicts of interests effectively. (2) Where the person appointed as a fund manager is an employee of the
factors to select products on the platform. The advisory process should be carried out based on theoretical principles and include measures to manage conflicts of interest effectively. 5. Clearly
(ESOP) is a tool to create motivation for personnel of the company to work effectively to promote the growth of the company by providing opportunity for directors and employee to take part in the
, clearing houses must have appropriate risk management measures in order to effectively perform the duties of guaranteeing clearing and settlement. Securities Depository Center At present, most securities
independence to effectively perform the duties. The criteria for consideration of independence include the followings: FAs' holding shares of an issuer who is a listed company must be less than or equal to 5