units with an agreement that the insured shall pay premium to the life insurance company for protection against death or payment upon life and the insured shall pay for the purchase of the mutual fund’s
company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up
insurance company have signed a contract of life insurance and a contract of investment in investment units with an agreement that the insured shall pay premium to the life insurance company for protection
receive payment from the seller under the conditions specified in the contract. The buyer is required to pay a premium to the seller in exchange for such right to buy or sell. Options which grants the buyer
has decided that intermediaries shall comply with the rules and conditions issued by the AMLO instead; however, intermediaries shall have an efficient risk management system adequate for the prevention
that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts of interest and accessing inside
characteristics as well; (6) demonstrating that the applicant will have a good and efficient management; (7) demonstrating that the applicant will have an efficient policy and measure for [i] preventing conflicts
efficient complaint handling system for the settlement of dispute, such as act in compliance with the notification of the Securities and Exchange Commission governing determination for securities company
and efficient management; (b) efficient policies and measures on prevention of conflicts of interest, prevention of access to inside information between responsible units and other personnel, internal
) being capable of maintaining capital and reserve under relevant supervisory law; (3) demonstrate efficient systems to prevent conflict of interest, Chinese wall among different departments and staffs