the audit firm who has an influence on the applicant’s giving of opinions are not employee or worker of the company or its subsidiaries for which the applicant is the auditor; 5. The audit firm does not
opinion by an auditor approved by the Office, and such auditor must not be a director, staff member or employee of such securities company. The auditor of the private fund must adhere to the code of conduct
shall determine duties and responsibilities for each operational staffs clearly and arrange a communication and rehearsal of understanding on duties to perform, as well as specify in details of
owner in shares under the fourth paragraph of Section 24, a director, an officer or an employee of such derivatives business operator. Furthermore, the auditor shall also adhere to the ethical code of
securities company, the term “personnel” and “employee” under this Notification shall also include any person who is entrusted to perform the duty for a securities company. Clause 3/2. Clause 16 shall apply to
organization and worker of securities company’s. Such measure shall, at least, having measurement protecting to access internal information between organization and worker who have opportunity to know any
trading, affiliated transaction, soft commission and staff dealing; (6) The investment in derivatives and innovative financial instruments; (7) The determination of guideline for complaint acceptance and
not be a director, officer or employee of the securities company. The securities company shall publish its balance sheet and profit and loss account prepared in accordance with the first paragraph for
conflicts of interest; (b) not be an employee, staff, advisor who earns salary, or controlling person of the securities company, parent company, subsidiary company, affiliate company, or person who may have
company shall proceed as follows: (1) buy or sell securities according to the bid and offer price, and shall make a clear understanding with the counterparty regarding the expiry time of such bid and offer