) dated 09/03/2004. 12 This is repealed for amendment by the Notification No. OrNor. 4/2547 Re: Registration of Persons Qualified to be Mutual Fund Supervisors (No.2) dated 09/03/2004. (Translation) 7
efficiently use within appropriate time, including having security system sufficient to prevent an access or amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange
amendment of such information by non-responsible person. Clause 11. Derivatives broker shall arrange to have evidence related to the derivatives trading and maintain such evidence in complete and up-to-date
transactions of clients in writing and shall supervise the amendment of transactions not to violate or fail to comply with the procedures and methods set out. Clause 25 A securities company shall not trade
for amending trading transactions of clients in writing and shall supervise the amendment of transactions not to violate or fail to comply with the procedures and methods set out. Clause 25 A securities
, and available for use in an efficient manner within an appropriate time, as well as a security system which is sufficient to prevent the access to or amendment of such information by any unauthorized
access to or amendment of such information by any unauthorized person. Clause 12. The derivatives broker shall provide documentation evidencing derivatives trading and ensure that complete documentation is