efficiency of management and compliance system; (3) arrange for retaining information, documents and relevant evidences relating to its business completely and currently and in the manner of prompt for being
as the operation of the work units relating to undertaking the derivatives brokerage business in a manner whereby it can be demonstrated that a system to prevent conflicts of interests, a system to
operation of the work units relating to undertaking the derivatives brokerage business in a manner 2 As repealed and replaced by the Notification of the Capital Market Supervisory Board No. Tor Thor. 2/2553
business and provides services for a client with loyalty, expertise and proficiency, including due diligence and care in the same manner as a professional would exercise in like circumstances; (2) operates
depositories, which are financial market infrastructures, to deploy effective and secure risk management systems, provide services in a transparent and fair manner, and operate appropriately and correspond with
Companies shall comply with the provisions concerning offerings of covered funds in the same manner as offerings under ASEAN CIS and ARFP, mutatis mutandis. - In the case where a covered management company in
the purchase or sale of any securities in consideration of a fee or other remuneration excluding the giving of advice to the public in the manner as specified in the notification of the SEC. "securities