shall not be effected, which increase the efficiency in managing its cost. The Office, therefore, has amended the prescription concerning working procedures and conditions for securities company on using

be applicable to the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary . In this regard

directors and containing at least details as specified in the provisions under Clause 8. The policy shall be reviewed on its efficiency and appropriateness at least once a year or promptly upon occurrence of

the intermediary ; (d) assess the efficiency of the Know-Your-Client and Due Diligence measures imposed on financial institution clients which open an account or make transactions with the intermediary

has been lately submitted and effective: ( Form 69 – CIS full (effective date on _____________________ ) ( Form 69 – CIS annually update (effective date on _____________________ ) ( Form 69 – CIS

have been known, but not exceeding 2 years from the effective date of registration statement. Please choose the following form that has been lately submitted and effective: ( Form 69 – CIS full

and reporting of defect, efficiency and overall conditions of cloud service; (5) define clear roles and responsibilities of the cloud provider on the data backup, defect resolution process, service

License to Provide Services as Securities Registrar (No. 6) dated 24 April 2017 (effective on 16 May 2017). ( Amended by the Notification of the Securities and Exchange Commission No. Kor Thor. 32/2546 Re

.” Clause 2. The derivatives advisor who provided services for customers prior to the effective date of this notification shall arrange to have an agreement in writing relating to the settlement of disputes

securities business license in the category of investment advisory service or a securities business license type C , as the case may be, the derivatives business license so issued shall become effective when