securities business is lost or destroyed, the association related to securities business may submit an application for a substitute of the license. Clause 6 A license for establishment shall take effect on its

Company and their experience in reviewing financial statements. 11.3 Selection and appointment of directors and chief executives (1) Independent director - Specify the selection criteria, i.e

the day before or of 1 hour before the occurrence of emergency incidents, as the case may be. In addition, there should be provided an approach on provision or preparation of substitute data in

under other laws incapacitating the management company from complying with the rules and conditions to be exempted; (3) the management company has other measures that are sufficient and may substitute the

providing services under Paragraph 1, the derivatives dealer shall ensure that a chief executive officer or a person assigned by the client has already granted consent before the client engages in derivatives

knowledge and experience in reviewing the reliability the financial statements of the Company and their experience in auditing financial statements. 9.3 Selection and appointment of directors and chief

shall prepare in writing (electronic transaction like e-mail) with an approval by the authorised person such as chief of Section requested, chief of computer division requested etc.. [M] · Providing an

substitute for the guidelines in Items (6) - (7), for example, conduct regular inspection of mobile devices, or if an employee violates the rules, impose a penalty or remove the access right to application

approved by the chief executive responsible for the line of work related to capital market of the intermediary . The investment guidelines of the intermediary shall have at least the following details: (1

service provider is required; (2) a complete and updated summary report of the operational function outsourced to the service provider shall be prepared and submitted to the chief executive officer of the