the essential issues of the information of such mutual fund rating; (2) having reliable shares holding structure, organization structure, scope of business operation, directors, managers, department

securities company with an acceptable standard for Operational Control and Security of the information technology of a securities company. The essential of this guideline is compose of: 1. Policy of Security

means short-term investments with high liquidity ready to be converted into definite amounts of cash, and low risk of value changing or pertaining insignificant value changing, most of which are bills or

conducts a business placed with trust and accountability from the client who is the owner of money. Consequently, the management should have essential role in prescribing investment management policy under

prevent risk from changing of price or value of assets or liability, an obligation binding or going to bind in the future by derivatives broker. Such trading shall be made through off-exchange with a

commitment specified in its application unless where there is a difference in the details which does not cause such qualification demonstrated in the application process changing materially, and the SEC Office

application process changing materially, and the SEC Office has passed such preparedness; (2) maintaining qualifications and keeping its characteristics as demonstrated in Clause 4 throughout undertaking

refuse to the counter trader. Clause 11. The securities company shall not mislead counter trader about the essential details of securities trading, by refrain from information disclosure, distort

client. Nevertheless, the amendment process should take less than 30 days as of the changing date. In the case where the derivatives broker deposits or invests the segregated asset of client with financial

From-To Reason for Company (month/year) changing job/position 1.2 Juristic person (1) Name………………………… Category of juristic person……………… (2) Established under the law………………………………………………… (3) Under the