Securities Companies and Derivatives Intermediaries (No.4) dated 9 February 2017 (effective on 16 February 2017). 3 Repealed by the Notification of the Office of the Securities and Exchange Commission No. Sor
e-service Online Submission Business Operation Rules >> Type Title Section See document Status Notified Date Effective Date 1. Notification of the Securities and Exchange Commission 30/2543 24
, and promoting exercise of investors? rights. The SEC also aims to promote independent investment advisory business and develop a more efficient mechanism for dispute resolution and effective enforcement
secure, effective and efficient IT practices and IT usage in businesses. The update would also include requirements related to the information security audits and the qualifications of the auditor who must
the key issues include competent personnel, professional code of conduct, effective risk management and sound financial condition.? ?Take client acceptance process, for example. It must cover the know
the value or suitability of any trading or investment in derivatives; (6) Repealed. Chapter 1 General Provisions _____________ Clause 4 In providing the derivatives brokerage services outside
value or suitability of any trading or investment in derivatives; (6)3 Repealed. Chapter 1 General Provisions _____________ Clause 4 In providing the derivatives brokerage services outside derivatives