person who has power to instruct the order for securities possesses an account with the securities company; (2) delivering a copy of monthly securities trading report which display transaction of

. - 21 - FORM 56-1 One Report (Attached to Notification No. Tor Jor. 55/2563) Applicable to the Financial Year Ending 31 December 2021 onwards Annual Registration Statement / Annual Report Form 56-1 One

to have evidence related to the derivatives trading and maintain such evidence in complete and up-to-date, including keeping of report or article analyzing value or advisability of trading in

securities holders directly, not general risks on business undertaking or investment. Describe the characteristics of such risks as well as the causative circumstances and potential impacts thereof (display

shall be explained in terms of a 3-5-year business plan (represented in figures or otherwise) and a progress report on the implementation of the operation according to the goals shall be explained in the

procedures; (3) engage an independent auditor to process and report the results of the actions under (1) and (2) and any deviation detected and the results of correction to the board of directors or the audit

, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the intermediary , in order to monitor the compliance with this

) imposing the intermediary to submit any information, report or relevant document to the SEC Office within appropriate period, whether general or case-by-case basis without excessive burden to the