SEC Office has conducted a review and acknowledged that such derivatives broker has a qualified personnel sufficiently to provide derivatives services relating to such precious metal derivatives. A

precious metal derivatives besides gold derivatives only when the SEC Office has conducted a review and acknowledged that such derivatives broker has qualified personnel sufficiently to provide derivatives

business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3) receiving or being going to receive reward or other benefit, whether in form

) Letter from the commercial bank, securities business operator or derivatives business operator which has acknowledged the rules on internal control and prevention of conflicts of interest and duty in

; (2) entering into transactions by exploiting information, relevant to its business and being unrevealed to public, acknowledged by the intermediary , or its directors, executives or other personnel; (3

company shall have a process ensuring that the person who performs a duty of an investment advisor has acknowledged and understood the information in the analysis report well enough to be able to give

of the fair value of any asset, a value that follows an academic principle that is recognized or complies international standards shall be used. Clause 13 In case the fund applied for the establishment

has acknowledged and accepted such investment risk; (2) monitor and revise the client’s information. In the case where the assessment result of the client’s risk profile has changed, the intermediary

No. Nor Por. 4/2561 Re: Countries Recognized by the SEC Office concerning Supervisory Measures on Investment Management __________________ Whereas the Notification of the Capital Market Supervisory

have completed the training courses on foreign currency risk from any agency recognized by the SEC Office, to provide services to the clients regarding investment in the capital market products