following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
operation system shall comply with the following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment
the Notification of the SEC Office regarding Approval of Auditors; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I
) Provide support to help align the Company’s practices and processes with the SDGs (2) Build capacity within the Company to better understand IMM and approaches of integrating inclusivity and sustainability
_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
_____________________________________________________________________ Remark: The reason for issuing this Notification is to administer financial institutions which are licensed to undertake securities borrowing and lending business to hold custody of clients’ assets
information related to provision of services as a derivatives clearing house sufficiently to the extent that members or their clients, or any involved persons understand risks from use of the services, and
has been received from its clients; 4. I well acknowledge and understand the requirements in the Notification of the SEC Office regarding Approval of Auditors, and I am willing to comply with all
provision of services as a securities clearing house or central securities depository to the extent that members or their clients, or any involved persons understand risks from use of the services, and shall
investors to better understand the Company and its subsidiaries’ 1st quarter of 2018 reviewed financial statements. An Analysis of Performance * Analysis of Income The Company and its subsidiaries recorded