the SEC Office of the details regarding the establishing domestic branch office, by using the form as provided on the SEC Office’s website, at least 5 business days before the opening date; or (2) in
on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned by
policy on the governance of information technology, which shall contain at least the following matters. Such policy shall be approved by the board of directors of the intermediary or a committee assigned
to be reported to their Board of Directors at least on an annual basis. Clause 7. Securities company shall arrange for on-going training for all employees, including those delegated by the companies
, for at least 5 years from the date the account is closed /the business relationship with the client is terminated. Such documents and information shall be stored in the manner that enables prompt access
and a further period of 13 days in 1Q19. Due to the integrated nature of the site, these shutdowns adversely also impacted production of PTA thus impacting the EBITDA contribution from the EMEA region
ธุรกรรมเพื่อกองทุนกับบุคคลที่เกี่ยวข้อง บริษัทจัดการต้องทำธุรกรรมที่เป็นประโยชน์ที่ดีที่สุดต่อกองทุนในสถานการณ์ขณะนั้น (best execution) มีความจำเป็น และกระทำเสมือนเป็นทางค้าปกติ (at arm’s length transaction