following rules: (1) dealing with customer and customer service: (a) having procedures and methods to know the customer and understand the customer’s investment objective restriction in order to obtain
objective restriction in order to obtain information for analysing suitability of customer’s investment; (b) having personnel responsible for contacting customers and staff or persons authorized by the asset
relation to EARTH’s securities, knowing that EARTH would be faced with a liquidity problem and its request to extend debt repayment period was denied by a financial institution. The stated 11 persons
where the applicant wishes to request a waiver of the rules under this Notification, the applicant shall submit an application for the waiver together 10 Amended by the Notification of the Capital Market
. Eliminate stamp requirement on underlying documents submitted by customers when conducting foreign exchange transactions. 3. Allow a qualified company or a group of qualified companies to submit a request for
is made. The storage of such document or evidence shall be made in the manner which is immediately available upon the Office’s request for a review or an inspection. Clause 4 This Notification shall
Exchange Commission) Request Form for Examining Information of Persons who the Securities Company will Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List
/2557 Rules on Appointing Independent Director of an Intermediary 03/06/2014 01/07/2014 2. Circular 13/2544 22/02/2001 Report/Form (Notification of Securities and Exchange Commission) Request