related to properties in or outside the Kingdom including to accept donated properties; (2)  borrow or lend money as well as make investment for profit; (3)  determine the fees for filing registration

evidence relating to customers’ derivatives trading, shall be kept for a minimum period of five years from either the transaction date, the margin call date, or the release date of such analysis report or

or a private fund manager who is responsible for making decisions regarding investments in or disposals of securities or other assets that are not immovable properties, leasehold rights to immovable

release date of such analysis report or article to customers, as the case may be, and shall be readily accessible or open to inspection by the Office during the first two years of the 5-year period. Clause

in, or procure for profit from holding in, securities, derivative, or any other properties, or invest in or porcure for profit by other means.          (As amended by Section 3 of the Securities and

to buy the leased properties, except the penalty from premature termination; 3. other particulars as stipulated by the Notification of the Office of the Securities and Exchange Commission; (b) other

maturity date without the condition to buy leased properties, except the penalty; 3. other particulars as stipulated by the Notification of the SEC Office; (b) other contingent liabilities of securities

personnel, the intermediary shall govern its personnel to comply with such standards. Clause 10 An intermediary shall not make a contract with a client in a manner of release or limit its liability for damage

bonds are entitled to redemption under a firm quotation price or at a minimum price pre-determined on the issue date of such bonds. Clause 12 In order to appoint or assign any person to perform duties

of a collective investment scheme which has characteristics similar to a mutual fund but excluding the collective investment scheme with the objective of directly investing in properties relating to