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

relating to the proceedings under Clause 8 and Clause 9 for a minimum period of two years from the preparation date thereof and in the manner, which facilitates prompt inspection by the SEC upon request

and in the manner which facilitates prompt inspection by the Office upon request. Clause 12 . This Notification shall come into force as from 1 October 2008. Notified this 28th day of April 2008. (Mr

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

maintenance of such evidence during the first two years shall be in such a manner that allows prompt retrieval or inspection by the SEC Office. Chapter 2 Securities Trading _____________ Clause 10 A securities

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

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

years from the date of issue, in a way that such documents are prompt to be called or inspected by the SEC Office without delay. For the purpose of (4) in the first paragraph, the term “cyber security

with the client is terminated. Such documents and information shall be stored in the manner that enables prompt access for review by the Office when requested. Notified this 1st day of March 2007

its custody of clients’ assets for at least five years. Such information and documents shall be stored, during the first two years, in a manner that enables prompt access for review by the SEC Office