intermediary; “executive” means a manager and a person responsible for control, supervision and management of the business units relating to investment advice, investment planning, analysis of investment or
Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information Technology of Securities Company; (2) the Notification of the Office
paragraph relating to computer or electronic system: (1) the Notification of the Office of the Securities and Exchange Commission concerning the Operational Control and Security relating to Information
shall also apply to securities dealing of a securities company mutatis mutandis . Chapter 1 Operational Control ___________ Clause 6 A securities company shall establish rules in writing, which are
company. Clause 5 The provisions in Clause 19 shall also apply to securities dealing of a securities company mutatis mutandis. Chapter 1 Operational Control ___________ Clause 6 A securities company shall
outbreak control measures are being gradually relaxed and Vaccination is more progressive. 2). The effect of outstanding demand from the previous period and 3). Government measures that continue to bolster