purchasing or selling orders from customers outside its head office or branch offices unless otherwise specified by the Office; (7) purchase or hold shares, except: (a) those acquired in the course of

(approximate) Spending Duration (approximate) Details/Spending Progress/ Reason(s) and Measure(s) in Case of Failure to Comply with the Spending Objectives 1. To acquire assets or invest in a business related to

Exchange Commission: For the purpose of applying for approval from the SEC Office for ………………………... (applicant’s name) ………………..., a registered auditor No…………, I, the head and the authorized person of the

the characteristics of their opinions). 11.3 Heads of Internal control and compliance (1) Identify the head of the internal control unit and that of the compliance unit (if any); In case of outsourcing

shall be explained in terms of a 3-5-year business plan (represented in figures or otherwise) and a progress report on the implementation of the operation according to the goals shall be explained in the

report at the head office for the period of no less than five years as from the last date of that calendar year for inspection by the Office. Clause 14. In the case where there is such error with the

of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply

Office hereby issues the following regulations: Clause 1 In this Notification: “ derivatives broker ” means a person licensed to undertake derivatives business in the category of derivatives brokerage

mean time, the derivatives brokers may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the derivatives

time, the securities company may assign an officer of the head office or the manager of other full-service branch offices to temporary acting as a manager. Clause 6. In case where the securities company