(8) having not been ordered by the SEC Office to adjust the defect of internal control, compliance or information management system or having not been adjusting the systems thereof, unless having
approved by and registered with the Office, whose main objective is to promote and develop securities business in the category of asset management; “Custody agent” means any person whom a registered person
with the Office, whose main objective is to promote and develop securities business in the category of asset management; 1“Custody agent” means any person whom a registered person appoints as an agent to
Re: Guidelines Relating to Operating Systems of Fund Management Business
virtue of Clause 5(1) of the Notification of Capital Market Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to
Supervisory Board No. TorThor. 35/2556 Re: Standard Conduct of Business, Management Arrangement, Operating Systems, and Providing Services to Clients of Securities Companies and Derivatives Intermediaries dated
a derivatives business operator in the category of derivatives broker or derivatives dealer; (2) “SEC Office” means the Office of the Securities and Exchange Commission. Clause 2 . An applicant for
operator in the category of derivatives broker or derivatives dealer; (2) “SEC Office” means the Office of the Securities and Exchange Commission. Clause 2. An applicant for the registration as a derivatives
corporation’s accounting and financial reporting systems. New issues in this chapter include the role of the board of directors in risk management, tax planning and internal audit. There is also a new principle