company operate business inconsistent namely trading securities system was damaged and unable to operate in the normal condition etc. or an effect causing harm to the customer’s information or customer’s
operator’s proprietary trading shall arrange to have systems for administrative management and management of risk which could arise from such investment, at least in the manner in accordance with the guideline
storage. Clause 20 In trading securities with a retail client, a securities company shall prepare evidentiary documentation to show that such securities trading is executed after the client has received
accurate, complete, truthful and updated manner; (2) establishing a code of conduct or rules for securities transfers, pledges, securities attachments, issuance of new securities certificates and other
A-1 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING AGENCIES THE BOARD OF THE INTERNATIONAL ORGANIZATION OF SECURITIES COMMISSIONS REVISED MARCH 2015 A-2 CODE OF CONDUCT FUNDAMENTALS FOR CREDIT RATING
Exchange Commission No. SorThor. 2/2549 Re: Preparation and Keeping of Information Relating to Derivatives Trading _____________ By virtue of Clause 11, Clause 14 and Clause 24 of the Notification of the
.................... • Removable Storage โปรดระบุจ านวนบุคลากรทีใ่ชอุ้ปกรณ์ดังกล่าว.................... • Others (โปรดระบุ) โปรดระบุจ านวนบุคลากรทีใ่ชอุ้ปกรณ์ดังกล่าว.................... จ านวนบุคลากร ทีใ่ชอุ้ปกรณ์ เคลือ่นทีท่ีจ่ัด
CFD-issuer 1. 1.1 1.2 1.3 1.4 ... 2 2.1 ( 2.2 2.3 2.4 / / / / 2.5 2.6 ( .. 2.7 2.8 oversubscription) (Funding portal) CFD-issuer excel ID code %) 1 1 1 1 1 % 2
necessary for carrying out critical activities; “critical information systems” means information systems which support the operation of the critical activities, for example, trading systems, back-office