should select a critical business function which it considers that if emergency incidents happen, it will disrupt and significantly affect customers, business operation, financial status or reputation of

Status Report This is in reference to the SEC Office’s email dated 28 June 2010, which informed securities companies and derivatives brokers (“intermediaries”) of the requirement for submission of the

of the use of securities business for money laundering and financing of terrorism that could damage the reputation of intermediaries. Regarding the Know-Your-Client/Client Due Diligence (KYC/CDD

issued thereunder; which may discredit securities or derivatives business in general or may cause damage to its reputation, status of business operation or client of such business, as the case may be. Form

giving rise to damage to the reputation or the financial condition or the business operation or the customers of such business. Clause 5. In applying for an approval to act as a mutual fund manager, the

identity and business reputation of the client’s principal owners, key management, and those charged with its governance. · The nature of the client’s operations, including its business practices

in which the management company should proceed to exercise the right to vote in the shareholder’s meeting as follows: (a) Financial status, operational performance, dividend payment that may affect the

its business by maintaining corporate image and reputation including credibility of capital market essentially, as well as operates its business with reasonable awareness by taking account of time

disruption may have significant impact on their clients, undertakings, businesses, reputation, financial condition, and operating performance; “ use of mobile device ” means the use of mobile devices in the

operation, reputation, position and results of operation of the intermediaries. “ manager ” means a person who is designated by the board of directors of intermediaries to be the highest responsible