issuer and those who have an opportunity to make use of such inside information ; (4) clear scope of authority , duty and responsibility of directors, executives and work units. Clause 7 A securities
access inside information of a securities issuer and those who have an opportunity to make use of such inside information; (4) clear scope of authority, duty and responsibility of directors, executives and
institution as the highest rank persons with managerial authority who are capable of management, ethical, honest, understand and responsible for business undertaking; (4) having determined clear scope of
system to prevent damage caused by risk arising from business operation to the extent that it does not have an adverse affect on the business operation of the securities company. Risk to be taken into
inside information regarding securities issuers; (4) clear scope of work, duties and responsibility of executives and units. Clause 4/1.8 A securities company shall have independent director of at least
least set out measure to protect the access to inside information of units and personnel who has an opportunity to access the inside information regarding securities issuers; (4) clear scope of work
the said individuals clearly, including: (a) a clear scope of his managerial discretion that would also put his voting discretion in material subjects of the company under the approval of the trust
Brokerage: Investment Units, failed to comply with the rules, conditions and procedures as specified in the notification by failing to specify the extent and procedure of outsource function related to
derivatives fund management contract shall have the characteristics in compliance with the following rules: (1) Having a clear scope of investments or restrictions of investments; (2) The agreement shall not be