management of proprietary portfolios; (7) Any other financial institutions specified by the Office with the approval of the Securities and Exchange Commission; (8) Securities companies for the management of
user of various division have to participate in preparing a policy with approval by the Board of company at least. In case where the securities company is the affiliated company of other financial
Associations, which are approved by the Office; (8) “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial
underwriting of investment units by way of text, graphic, voice or any other signs or symbols, which enables the public to understand the meanings, through any media or objects. This does not include the
media or objects. This does not include the information which is given in the prospectus or which is aimed to be educational or to provide facts without the intention to promote sales of investment units
disruption may have significant impact on their clients, undertakings, businesses, reputation, financial condition, and operating performance; “ use of mobile device ” means the use of mobile devices in the
established under specific law other than the juristic persons under (h); (g) an international financial institution; (h) a governmental agency and a state enterprise under the law on budgetary procedures; (i
should select a critical business function which it considers that if emergency incidents happen, it will disrupt and significantly affect customers, business operation, financial status or reputation of
securities dealing: (1) commercial banks; (2) financial companies; (3) securities companies; (4) credit foncier companies; (5) insurance companies; (6) juristic person established under the specific law other
such products or services to clients; (c) providing an instrument or media for personnel under (a) to clarify characteristics and risks of capital market products or services to clients, as deemed