, how does the firm inform its personnel or what kind of process that the firm use to ensure that its staff evaluate clients risk? 5 Regarding integrity checks does the firm’s conduct, for example

· Forms 2 Does the firm have policies and procedures for the retention of firm’s documentation for a period of time sufficient to permit those performing monitoring and review procedures to evaluate the

inspection to evaluate its compliance with its policies and procedures? – Monitoring Process If yes, please specify 1) Who perform such function e.g. in-house, outsource, network firm? 2) How often the firm

); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under

substitute personnel at operational level and management level, financing source, office equipments and information technology systems, as well as, should evaluate on a usage of finance and accesibility to

, disposal period and amortization of repurchasing share (cancellation of treasury stock for reducing capital). 3.14 risk management and prevention It shall disclose objective and policy on financial risk

issuance of the latest financial statement, such increasing or reducing shall be calculated in the shareholder’s equity of the securities company. (3) demonstrate a plan for the business operation in foreign

, such increasing or reducing shall be calculated in the shareholder’s equity of the derivatives broker. (3) demonstrate a plan for the business operation in foreign countries, such plan shall at least

well as specify the investment ratios and conditions for the fund to comply. Clause 12. The management company shall regularly evaluate the performance of the respective funds and disclose the

in accordance with the objectives of protecting investors, promoting fairness, efficiency, transparency of the capital market, and reducing financial systemic risk, and also in convergence with the