) principles for contacting and providing services to clients, intermediaries remain obliged to continue following such principles, as prescribed in Clause 30(1) of the Notification of the Capital Market
impact. In contacting with foreign regulatory agencies, a intermediary is able to contact through its foreign counterparties or the SEC. Division 8 Companies shall test and assess the BCP (Training
years rental contract from August 1st, 2019 until July 1st, 2022, to be used as the Company’s headquarter for contacting, coordinating, and conducting business and documentation. The transaction is under
services essential in contacting with the securities registrar and such publications shall be posted in a prominent place at the office of the securities registrar; (3) establishing an internal control
the branch office for the purposes of facilitating investors when contacting with the branch office and undergoing inspection on operations by the Office to ensure compliance with the law; (4) Pre
the branch office or the preparation of personnel to work at the branch office for the purposes of facilitating investors when contacting with the branch office and undergoing inspection on operations
Notification on Standard Conduct of Business, mutatis mutandis, except in the case where this Notification prescribes specific regulations otherwise. 2 In contacting and providing services related to selling
contacting, soliciting or giving advice on securities investment for client from work unit and personnel responsible for proprietary trading. Clause 7. Securities company shall separate work unit and personnel
take benefit from such information. Clause 67. Securities company shall separate work unit and personnel responsible for contacting, soliciting or giving advice on securities investment for client from