that is distinguishable without any suspicion, and there must be separate account for each client’s assets and segregated from the account of its own, which should be kept it accurate, complete and up-to

contributions to social causes by any other means apart from normal business operation ( in-process CSR) may also be disclosed in a separate section ( after-process CSR). Guidelines for CSR disclosure and

”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and

Company is advised to consider the guidelines, manual or disclosure checklist in Form 69-1 available on the website of the SEC Office. In this regard, the Company may also use the guidelines, manual or

Securities and Exchange Commission No. Nor Por. 3/2559 Re: Guidelines for Establishment of Information Technology System ______________________ Whereas the Notification of the Capital Market Supervisory Board

acceptable and reliable standards. Such units shall have an independent operation and shall be free from other work units. Clause 9 A securities company shall separate work units and personnel whose duty

of assets of each client in a separate account which is segregated from the derivatives broker ’s account. A derivatives broker shall report to clients on custody of assets of clients in accordance

least separate a staff who prepares client’s assets account from staff who keeps the client’s assets, and specify that the transfer of the client’s assets each time must be approved by an authorized

a person responsible for preparing records of clients’ assets nor a person responsible for physical keeping of such assets . Clause 6 A securities company shall establish rules or practice guidelines

securities company shall separate the work units and personnel responsible for communicating, soliciting or giving securities investment advice to clients from the work units and personnel responsible for