and Develop Innovation in Support of Service Provision Related to Capital Market Which Are Not Deemed an Undertaking of Derivatives Business For Which an Approval Is Required _____________________ By
rates as specified in paragraph one hereof. Clause 5. The following securities companies which are required to pay fees at the rates as specified under Clause 3 shall be exempt from payment of such fees
as specified in paragraph one hereof. Clause 5.3 The following securities companies which are required to pay fees at the rates as specified under Clause 3 shall be exempt from payment of such fees as
, which have duty to prepare and file with the Office such reports on the financial status and business operation, margin accounts, and clients’ assets, as required by the Notification of the Office of the
operation, margin accounts, and clients’ assets, as required by the Notification of the Office of the Securities and Exchange Commission No. SorThor.57/2544 Re: Report Forms of Securities Companies dated 28
, margin accounts, and clients’ assets, as required by the Notification of the Office of the Securities and Exchange Commission No. SorThor.57/2544 Re: Report Forms of Securities Companies dated 28 November
disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations. Clause 6. A securities company shall establish in writing a business continuity
impact analysis and assess potential damages arising from major operational disruptions to ensure prioritization of systems, processes and resources required for effective recovery of business operations