documents and evidences in accordance with the format and procedures provided by the Office of the Securities and Exchange Commission in the electronic operational system of the Office of the Securities and
operational procedure clearly with regard to granting a consent to a designated person to act on behalf of the securities company or to approve any action that will create an obligation for the securities
No. OrThor/Nor. 5/2547 Re: Operational Control and Security of the Information Technology of Securities Company For the purpose of rendering the securities companies to efficiently comply with the
office or a full-service branch office for approval; (3) accept or deliver money or securities by electronic equipment; (4) undertake any other necessary duties as prescribed by the notification of the
the application to head office or a full-service branch office for approval; (3) accept or deliver money or securities by electronic equipment; (4) undertake any other necessary duties as prescribed by
) determining an operational procedure for preventing conflicts of interest or access to inside information between work units and personnel of the intermediary; (2) supervising relevant personnel to comply with
investment in securities or derivatives in the manner of giving an opinion or sharing an investment experience through a website or electronic media occurs extensively in increasingly various forms, both in
including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic
pledging and debt repayment capability of customer, shall not apply to the service of derivatives broker for institutional investor. Chapter 2 Organization Structure, Working System, and Operational Control
Advisory Agents dated 3 August 2009; (6) Clause 2 and Clause 3 of the Capital Market Supervisory Board No. TorThor. 71/2552 Re: Rules, Conditions, and Procedures for Operational Control of Securities