policy. In the event of changes in the organizational structure, operational systems or other events which significantly affect the operations, the securities company shall take the actions required under
verify that the person submitting such trading orders or instructing the securities company to take any actions regarding the assets in the client’s account is the rightful account owner or the person
Report Form 69-1 1 September 2020 Note : This annual registration statement / annual report (Form 56-1 One Report) contains minimum information required to be disclosed by the issuing company (“Company
on securities and exchange. Chapter 1 General Provisions Clause 4 Any securities company undertaking custody of clients’ assets , whether for the purpose of keeping, purchasing, selling, borrowing or
development plan and monitor the implementation of the plan which may be done in a prioritized order. 11.8 Other matters related to compliance with the CG code The Company may disclosure other actions in
the category of derivative broker; (2) a securities company licensed to undertake securities business in the category of securities brokerage; (3) any other derivative business operator as additionally
Commission Notification of the Office of the Securities and Exchange Commission No. SorNor. 12/2545 Re: Determination of Rules and Procedures for Actions by Management Companies against Incorrect Value of
; and (d) Actions taken by the management company when the unit price is found incorrect. The management company shall arrange to maintain a copy of such reports under (1) hereof at its office for
following regulations: Clause 1. In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of mutual fund management. Clause 2 . This
directors on the anti-corruption policy of the Company and the subsidiaries, prohibiting demand, receipt and payment of bribes and optionally covering the scope of actions. In case of no resolution on such