with Chapter 1; (2) establishment of policies, measures, and management arrangement concerning information security in accordance with Chapter 2; (3) management of IT assets and the access control to

registration and deregister the old devices to ensure that the use of mobile devices complies with the information security policy. The intermediary may use other registration technology instead if considered

offence against the law on securities and exchange or any act deemed to be an offence related to assets or any act harmful to the economy or the national security, and shall not conceal, or be involved in

Exchange Commission Re: Rules and Procedures for Applying for License and Registration of Association related to Securities Business ____________________ By virtue of Section 14 and Section 232 of the

giving an importance to information technology security, integrity and availability; (e) preventing the securities trading center, directors, executives and employees from seeking benefits wrongfully by

accounts and finances of clients, the operator shall be affiliated company or auditing firm; (7) client registration; (8) back office operation after trading of securities or derivatives; (9) back office

brokerage, dealing or underwriting of investment units (LBDU); (8) Registration of members of provident fund/ unit holders of mutual fund should be prepared accurately and completely; (9) Every operation

unitholders and the management company ; (3) the prospectus for the offer for sale of fund units; (4) the registration of a pool of assets as a fund ; (5) the preparation of unitholder register; (6) the

the prospectus and the registration statement. In cases where the capital market products under subclause (1) of the first paragraph are investment units of an exchange traded fund (ETF) which allows

places and by the methods specified in the prospectus and the registration statement. In cases where the capital market products under subclause (1) of Paragraph 1 are investment units of an exchange