Supervisory Board or the SEC Office, including the operational guidance specified by the intermediary to comply with such rules. (2) consent of the service provider for the SEC Office to inspect the operation
managing the client’s assets as prescribed under Clause 4(1), the SEC Office shall inspect and verify the client’s assets by taking the following actions: (1) inspecting the client’s assets under possession
Department 2) Consideration SEC official inspect qualifications of applicant by checking qualifications and status of the applicant 59 days Accounting Supervision Department (Unofficial Translation) 3 Step
The derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law
derivatives dealer shall inspect, supervise and take responsibility to ensure that its staff and personnel are complying with the law on derivatives and the guidelines issued under such law including the code
in practice and for the Office to inspect such practical operation. Clause 13. This notification shall come into force from 1 May 2004. Notified on this 16th day of April 2004. -Signature- (Mr. Somkid
make clarification in practice and for the Office to inspect such practical operation. (Translation) 5 Clause 13. This notification shall come into force from 1 May 2004. Notified on this 16th day of