therefore suspended the approval as investment consultant for complex instruments type 1*** for one month and 15 days, effective from 9 March 2020. SEC emphasizes the importance for investment consultants
arrange a contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
contract or an agreement in written relating to custody of customer assets that specifies the right, duty, and responsibility of each party and contains at least the materials as specified in the
client’s securities held under the name of a derivatives broker as a result of client’s default pursuant from derivatives transaction. Clause 2. Derivatives broker shall arrange a contract or an agreement in
Approval of Auditors ; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I entirely understand the generally accepted
the Notification of the SEC Office regarding Approval of Auditors; 5. I entirely understand the code of ethics for professional accountants and will perform audit work in compliance with the code; 6. I
employee of my audit clients and or its related entities. 4. I have qualifications that meet all criteria in the Notification of the Office of the Securities and Exchange Commission No. 30/2558 Re: Approval
3 The derivatives dealer shall enter into an agreement with the client in writing at the time agreed upon to provide services to the client to arrange for a dispute resolution by an arbitration
103 The derivatives dealer shall enter into an agreement with the client in writing at the time agreed upon to provide services to the client to arrange for a dispute resolution by an arbitration
103 The derivatives dealer shall enter into an agreement with the client in writing at the time agreed upon to provide services to the client to arrange for a dispute resolution by an arbitration