. 4 Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of
. Notification of the Office of the Securities and Exchange Commission No. SorThor. 3/2553 Re: Preparation and Maintenance of Information Relating to Derivatives Trading _____________ By virtue of Clause 12
Statement (“Registration Statement”), and the effective date of the Registration Statement; - Specify the investor warning as follows: “Before investing, investors must exercise their discretion in
Exchange Commission concerning Approval of Foreign Auditors. (3) the auditor’s report under (2) shall not have the following meanings: (a) the preparation and disclosure of information in the financial
the contract (physical delivery), or a party may make cash settlement where the cash difference between the exercise price and the market value or price of the underlying asset or variable at a time or
to ensure that any preparation and giving of advice adheres to the generally-accepted principles and that such advice is substantiated by reliable documentation, including taking into consideration
and in the best interests of each client, as well as monitor and supervise to ensure that any preparation and giving of advice adheres to the generally- accepted principles and that such advice is
the accounting preparation under (2) or the personnel in Accounting of the applicant has knowledge and understanding of the accounting system of the applicant, and such person has worked in Accounting