. Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
least. [A] · Backup Information and frequency of preservation · Media · copy · Procedure and method in detailed · Place and method of media storage · Providing a log book of information preservation that
least. [A] ▪ Backup Information and frequency of preservation ▪ Media ▪ copy ▪ Procedure and method in detailed ▪ Place and method of media storage o Providing a log book of information preservation that
with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the
by a management company 1.1 There should be a procedure for account opening and entering into a contract with a client. Such procedure should have adequate process to identify and verify client’s true
Draft Act has undergone public hearings and is under revision process. The final Draft Act will be submitted according to the National Legislative Council's procedure in due course. ?In addition to the
any unlawful benefits for themselves or others at the expense of the business operator. Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure
operator. Noted: Filing a criminal complaint is the commencement of the criminal process. Under the Criminal Procedure Code, after receiving the complaint, the inquiry officer will investigate the case
instruction, procedure and technical production, production flow, machine standardization, raw material standardization, diagnostic, testing and process control including the procedure and patent and other
technical production, production flow, machine standardization, raw material standardization, diagnostic, testing and process control including the procedure and patent and other necessary information