Office is not required to comply with the provisions under Clause 3 and Clause 4. However, where such securities company has been, and continues to operate as, the derivatives broker , it shall not be
. Clause 5 A securities company which ceases the operation of the securities business of all kinds and has given a written notice of such intention to the SEC Office is not required to comply with the
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the Notification of the Office of Securities
shall have the power to order such securities registrar to rectify such matter within a period as specified by the Office . Clause 7 In the case where any securities registrar: (1) does not comply with
order such securities registrar to rectify such matter within a period as specified by the Office. Clause 7 In the case where any securities registrar: (1) does not comply with the order of the Office or
. Maintenance of status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and
status. In order to ensure that all parties concerned understand and duly comply with the guidelines, the Office hereby offers clarification regarding the consideration of the skills and knowledge based on