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
according to the guidelines under (1) as well. If the holding company operates business of various types with a central company performing the role of managing subsidiaries or associated companies in each
solicitation; (2) having a clause prohibiting the representative from appointing a sub-representative; (3) overseeing the representative to comply with the clause in the agreement and the rules on sale or
control and risk management regarding the operation of the agricultural derivatives business according to the type of license, including measures for overseeing the compliance with the laid-out policies and
, whether operating as a holding or non-holding company, is required to disclose material information in the following matters: (1) Monitoring system for the board of directors to oversee the management and
Additional Rules for Proprietary Trading of Securities Companies __________________________ Division 1 Rules on Investment _______________ Clause 7 An operating system supervising the proprietary trading of a
approval of the Office of the Securities and Exchange Commission Name Position Managing power Independence Full time (with / without) (yes / no) (yes / no
regulatory sandbox ; (b) assessing and managing potential risks from the operation; (c) having operational procedures and an internal control system with details covering the operation specified in Clause 4
be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2) controlling, supervising and managing business units relating to
characteristics, or obtain an approval [from the SEC Office], as the case may be, as prescribed in this Notification: (1) managing, determining, controlling and supervising business policy of an intermediary ; (2