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

and documents submitted or presented or the explanations to elaborate or clarify in accordance with the first paragraph shall be complete and accurate.

shall procure an information management system to ensure that the information relating to the undertaking of the derivatives business, in the form of both paper and electronic data, is accurate, complete

documentation. In this regard, the SEC Office shall deliberate the application within 30 days as from the date of receiving complete and accurate application and the evidentiary documentation as prescribed in the

issued by the SEC Office by virtue of this Notification. (2) a complete and updated summary report of the operational function outsourced to the service provider shall be prepared and submitted to the

personnel. I hereby certify that the above statements and the supplementary documentation attached herewith are complete, accurate and true. Sincerely, Signature

in the making of key business policies; - ensuring the information disclosure of such companies is accurate and complete and in line with the disclosure rules of the Company with regard to, for example

nor shall they certify the accuracy and completeness of the information contained in the Registration Statement. The liability for certification of the accuracy and completeness of the information

procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to choose a service or make an

and Exchange Commission hereby prescribes the following rules: Clause 1. In this notification: “short sale” means a sale of securities that must be borrowed in order to complete delivery; “customer