controlling [M] · Keeping a written policy of security in the place where the user and the concerned person can simply reach [M] 2. Detail of Policy · Identifying clearly the purpose and scope and having a

underwriting without limitation to only debt securities, excluding company licensed to also undertake finance business. “Finance and securities company” means a company licensed to undertake finance business

policy to prevent and manage conflicts of interest as prescribed in Clause 17 shall describe at least the following contents: (1) identifying conflicts of interest which may arise in every process of

conduct their functions pursuant to such policy. Clause 18 The policy to prevent and manage conflicts of interest as prescribed in Clause 17 shall describe at least the following contents: (1) identifying

internal control environment. · Whether the client is aggressively concerned with maintaining the firm’s fees as low as possible. · Indications of an inappropriate limitation in the scope of work

. (c) Addressing significant matters arising during the engagement, considering their significance and modifying the planned approach appropriately. (d) Identifying matters for consultation or

derivatives position remaining until the settlement date. 6. Risk from being unable to proceed with the order of futures trading of an investor for loss limitation The derivatives broker may be unable to

manager Manager Senior Junior Expert in........ Expert in........ Total * The Audit Firm may adjust the details of its position structure by identifying each sublevel of position (if any). ** Specify the

shall be made with right of recourse and without any waiver or limitation of liability of the endorser, or the guarantee shall be given unconditionally for the whole amount of principal and interest, as

official shall be an official under the Criminal Code. Chapter 8 Sanctions, Statute of Limitation and Settlement Committee _________________ Division 1 Administrative Sanction _____________ SECTION 67 The