notification of the Securities and Exchange Commission Re: Requirements for securities companies to handle customer’s compliant; (2) the investment management system which has clear procedures and methods of
management that should be applied by each intermediary and for determining a clear detail of practical approaches suitable for size and complexity of business operation of companies. In addition, the
apparently inconsistent with the client's financial records and no clear justification is given by the client concerning the source of fund; (6) transactions that are not economically viable e.g. client
the financial statements (paragraph number........) ( 2.2 The auditor is unable to obtain sufficient appropriate audit evidence on which to base the opinion, but the auditor concludes that the possible
appropriate audit evidence and the possible effects are material, but not pervasive, resulting from: ( 2.2.1 circumstances beyond control of the entity (paragraph.........); ( 2.2.2 circumstances relating to
exposure is acceptable or not. The Client should also consider a potential of return on acquiring a position, amount of premium and transaction fees and possible losses. 3.2 Fees on Derivatives Trading Prior
) having a clear action plan which demonstrates determination for providing services of trading investment units in the long run; (6) having sufficient readiness for providing services and ensuring that
possible conflicts of interest; (d) imposing code of conduct or measure to prevent operation constituting conflicts of interest, which includes the following issues: 1. prohibited action possibly
disputes incidental to or resulted from the derivatives business. Such written agreement shall be made at the first opportunity possible but shall not exceed one year as from the date this Notification