Notification shall come into force from the day following the date of its publication in the Government Gazette except Clause 16 shall come into force from 1 January 2002. (see note attached hereto) Clause 2
all customers equally. (3) Keep confidential information of the customer and refrain from disclosing customer’s profile, derivatives trading information or financial information to other persons except
to other persons except for the disclosure according to its duties. (4) Not to make presentation which will guarantee profit or return at a certain rate or the loss shall not be more than the rate
reporting of suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional
the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures indicate that it is acting as a business unit
suspicious transactions. The policy mentioned in the first paragraph must be approved by the securities company’s Board of Directors, except for the company whose shareholding and functional structures
from the date of obtaining the license except where the licensee is a securities business which has already been undertaking securities business; (3) The licensee shall maintain the qualifications under