directors and chief executives: specify whether or not the selection of persons to be a director and chief executive is through a nominating committee, the number of directors representing each group of major
etc. [M] · Providing an oversee system the operation of officer under the policy strictly [M] · providing an inspection and assessment of the sufficiency of policy and internal control information
qualification under (3) or (5), the securities company may be granted an approval from the Office only when the securities company cause the relevant executive or personnel who rendered the company into such
under (3) or (5), the derivatives broker may be granted an approval from the Office only when the derivatives broker cause the relevant executive or personnel who rendered the company into such
business growth rate in 3-5 years 2. The executive should prescribe key policies in supervising the undertaking of fund management business in writing with an approval from the board of directors of the
meeting attendance fee and director reward, the amounts of which vary according to the Company's operating results). In cases where any director also receives remuneration as an executive under (b), make a
sustainability management as the Company deems appropriate. The policy and guidelines may be disclosed in full via the Company’s website to give investors an understanding and a guideline for further monitoring
system for receiving and delivery the client ’s assets between the intermediary and such third party, and for monitoring the consequence thereof. In this regard, while awaited delivery of the asset or
share of my audit clients or its related entities; 2. My immediate family members, including spouse and children, and I are not director, executive or representative of my audit clients or its related
providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives