of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply effectively with
should be considered by the audit committee and the board of directors so that they can exchange their views, align their understandings and decide on appropriate practical guidelines for the companies
detailed in Chapter 4. 2 Part 3 The SEC Office’s Power Clause 4 In order for this Notification to be complied with, the SEC Office may specify regulations or guidelines, as follows: (1) establish rules in
: (1) arrange to have a computer set where customer can submit a securities’ trading instructions by themselves; (2) accept a securities trading account application and forward the application to head
submit a securities’ trading instructions by themselves; (2) accept a securities trading account application and forward the application to head office or a full-service branch office for approval; (3
following duties: (1) arrange to have a computer set where customer can submit a trading instructions for derivatives contract by themselves; (2) accept a derivatives trading account opening form and forward
broker’s request. Clause 7. The online branch office shall perform only the following duties: (1) arrange to have a computer set where customer can submit a trading instructions for derivatives contract by
a person responsible for preparing records of clients’ assets nor a person responsible for physical keeping of such assets . Clause 6 A securities company shall establish rules or practice guidelines