services to the clients only in case of accepting selling orders or closing out the outstanding positions of capital market products in the clients’ trading accounts, except the intermediary is prohibited by
and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a
role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which may cause: (a) negative image to the
to remain fit and proper for the role so assigned; (5) have procedures to monitor and supervise business conduct and behaviour of staff in order to examine and prevent the conduct or behaviour which
the economy using significant quantities of lime are also showing remarkable growth. The steel industry continued to expand more than 10% year on year. In the construction sector the use of autoclaved
shares or partners in such juristic person, whether directly or indirectly, more than fifty percent of the outstanding shares or the total partnership; (3) a private fund of the persons under (1) or (2
shareholder or a partner of the juristic person which holds shares or partners in such juristic person, whether directly or indirectly, more than fifty percent of the outstanding shares or the total partnership
broker shall examine allocated quota available for such customer to ensure that each derivatives trading will not exceed the allocated quota. Clause 6. Provisions in Clause 3, Clause 4 and Clause 5 shall
Appoint as Executive Report/Form (Notification of Securities and Exchange Commission) Form 103-1 List of Information Intend to Examine by the Securities Company Report/Form (Notification of Securities