, please describe the composition of the panel. 9 Has the firm established policies and procedures for dealing with and resolving differences of opinion between: (a) Members of the engagement team? (b
investment units, established and managed by a management company. “Fund supervisor” means the fund supervisor of a closed-end fund. “Office” means the Office of the Securities and Exchange Commission. Clause
securities company licensed to undertake securities business in the category of mutual fund management. “Open-end fund” means a mutual fund which accepts the redemption of investment units, established and
under the law on interests of loans of financial institution; “foreign financial institution” means any juristic person established under foreign law licensed to provide derivatives services under the law
Operator Instruction 1. An applicant for registration to be a general derivatives business operator shall specify the detail only in Part I and Part III. 2. A juristic person established under foreign law
between work units and personnel of the intermediary; (4) system for preventing conflicts of interest. Clause 6 An intermediary shall prepare and keep documents, evidence or reports related to proprietary
granting of such approval shall be in accordance with the rules, conditions and procedures as specified by the SEC. The establishment of a branch office of a financial institution established in accordance
) measures on the use of cloud computing under the policy established in Clause 8(1) which covers: (a) an agreement between the cloud provider and the intermediary which contains at least the following matter
. The applicant under Paragraph 1 shall have the following characteristics: (1) being a limited company, public company limited, commercial bank, securities trading center, or juristic person established
include, internal control system, information security system to prevent access from unauthorized person, and effective Chinese Wall between difference departments and staffs as well as having measures for