, especially through maintaining a higher ratio of current account and savings account (CASA) while placing less focus on price competition, amid a greater flow of funds from other sources to be parked at banks
borrowers with good track records, as well as existing low-risk customers. Early warning signs were also developed with the use of transactional data for enhanced efficiency in risk monitoring and portfolio
Amending Securities Holder Records Attachment 5 Form of Securities Transfer Form E Form TSD-403 Securities Transfer to/from Issuer Account with Participant Attachment 6 Confirmation Letter on the Source of
. Clause 19 A securities company shall keep records of the giving of advice and negotiation on securities investment with a client for at least one month from the date on which the giving of advice or
or a person licensed to undertake securities business in the category of securities dealing under foreign laws. 6 Clause 19 A securities company shall keep records of the giving of advice and
the SEC Office within seven days from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and
from the date on which such questionable conduct is found. Clause 16 A securities company shall keep records of giving of advice, accepting of trading orders, and negotiation on securities investment
| - |- Securities Brokerage (Section 113) | - |- Brokerage of capital market product denominated in foreign currency | - |- Short Sale Provisions (section 98(5)) | - |- Know Your Clients | - |- Books & Records
) | - |- Securities Underwriting (Section 116) | - |- Underwriter of capital market product denominated in foreign currency | - |- Books & Records Requirements | - |- Risk Control | - |- Compliance / Internal Control