arrange to have the distribution of such document which contain substances similar to a summarized substance of instrument that appears in the registration statement in the form of printed documents and CD
securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable standard. Such units shall undertake independent
, the Office may specify conditions for the securities company to follow. Clause 5. A securities company shall arrange to have compliance unit and an internal audit unit with recognizable and reliable
is found and shall record the cause of each correction. Clause 14 A securities company shall arrange for the counting of clients’ assets which are kept by itself at least once a month to verify the
securities company shall arrange for the counting of clients’ assets which are kept by itself at least once a month to verify the records of clients’ assets as prepared by the securities company. For the
announcement of the acquisition or disposition and to arrange a Shareholders’ Meeting for approval of the transaction and must be approved by a vote of not less than three to four (3:4) of the total number of
case that the Company does not received such deposit within the period specified by the Board of Directors, the Company may arrange the Board of Directors’ Meeting to annul the approval for the capital