case such person has already been approved by the Office and this application is filed due to change of position/power in management/independence, photocopy of identity card/census registration

change category of debt instrument which holding until maturity due, it shall disclose additional details, as follows: a) the amount of write-off cost of the securities sold or transferred; b) total amount

initial margin is minimal when compared to the value of derivatives contract. Keeping this in mind when there is a significant change in market price of the future contract investor can make large amount of

laundering legislations, or where the know-your-client / customer due diligence process cannot be materially performed by the securities company. (3) know-your-client/ customer due diligence process (or KYC

professional standard; In case the investment advisory company intends to change the work system as approved by the Office under the first paragraph, the investment advisory company shall give a prior notice in

on risks and possibility of major operational disruptions due to a possible emergency incident, as well as analyse a business impact and assess damages from major operational disruptions, so that

to manage the investment for the investor with honesty, due care and with the interest of client prior to the interest of it own. Nevertheless, the organisational structure shall be in line with the

; 5. conditions in the case that the cloud provider subcontracts to another cloud provider and the provision on liabilities that may arise due to the operation of such cloud provider; (b) qualifications

(“developer”) from the personnel who operate in the system administration (“system administrator”) in the production environment. In the case that duties cannot be segregated due to the size of the business

services or change the nature of services that is provided by the branch office from the scope that is previously permitted by the Office, the management company shall make another request for permission