guideline for consideration of any problematic issues which many arise from the enforcement of this Act.

. Clause 2. The organisational structure of the company shall be established in accordance with the following rules: (1) arrange the structure of the company in an orderly systematic way, according to duties

analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving

interest amongst the clients of the intermediary in case the intermediary provides many types or categories of services. Clause 16 The actions which cause conflicts of interest in this Chapter shall include

of electricity or communication in many areas, by allowing every units to participate in arranging the BCP for their own critical business functions. The BCP shall contain, at least, the following

intention to create misleading appearance that the trades are done by many investors; (3) the client is reluctant to meet in person (face-to-face meeting) with staff of the securities company, when requested

structure 1.1 Segregation of work units and responsibilities Objective A management company shall have organisational structure that reflects the systematic segregation of duties. The mission, strategy

sufficient and efficient work system; (c) expertise, experience and business reputations; (d) readiness of the service provider in case of providing services to many intermediaries ; (e) record of complaints

interest between a client and an intermediary or its related person; (2) the interest amongst the clients of the intermediary in case the intermediary provides many types or categories of services. Clause 16

or many of the following acts for the replacement of or in conjunction with such power or specifying thereof, as the case may be: (1) specifying a period or condition regarding [i] next application for