statement, audited by auditor, in positive position. In this regard, in case the intermediary has raised its capital after the date of the latest financial statement, the amount of raised capital could be
reconsidering if the client insists to invest. After giving additional consultation, if the client has still insisted, the intermediary shall arrange the client to sign for confirmation that the client accepts
consultation involving feature, risk and return of the investment or transaction for the client’s reviewing or reconsidering if the client insists to invest. After giving additional consultation, if the client
regard, in case the intermediary has raised its capital after the date of the latest financial statement, 1 The regulations concerning net capital rules hereby refer to: (1) The Notification of Securities
); (5) review procedures and processes in the management of information security incidents, after the testing under (4) is carried out, at least once a year; (6) evaluate the results of the testing under
details: 5.1 Operational procedures and resposible persons In order that companies are able to restore its critical operational function within a specified period after operational disruption, companies