the securities dealing which are not debt instrument mutatis mutandis . Chapter 1 Operational Control Clause 4. A securities company shall have a code of conduct in writing, to be approved by the Board
..) Liabilities 12. Borrowings 13. Securities sold under repurchase agreements 14. Payable to Clearing House 15. Securities business payable and derivatives business payables 16. Debentures and debt instruments 17
Securities and Exchange Commission No. Or Thor. 21/2543 Re: Guidelines for the Operating Control of Brokerage and Dealing of Securities That Are Not Debt Instruments _____________________________ For the
reference. PAGE 2 Notification of the Capital Market Supervisory Board No. Tor Dor. 67/2552 Re: Rules, Conditions, and Procedures for Dealing of Debt Securities _________________ By virtue of Section 16/6 of
policy and guidelines on corporate governance and unabridged code of business conduct prepared by the Company Attachment 6: Report of the Audit Committee Part 1 Business Operation and Operating Results
(e); (2) bonds having high-risk or complex characteristics including: (a) hybrid securities with debt repayment period longer than 270 days as from the date on which hybrid securities have been issued
........ Year ............. Year ............. Year ............ Total assets Total liabilities Shareholders’ equity Total income Cost Net profits Earnings per share (EPS) Debt/equity ratio (D/E ratio) Return on
the standard and code of ethics by promoting compliance culture to strengthen confidence of client and the industry. Guidelines 1. The management should arrange to have strategic plan, policy and
possible conflicts of interest; (d) imposing code of conduct or measure to prevent operation constituting conflicts of interest, which includes the following issues: 1. prohibited action possibly
company to manage a fund; “Repurchase agreement” means a sale of securities or debt instruments with an agreement to repurchase such securities or debt instruments on the date specified in the agreement