well. Division 7 Cross-border communication In case where a intermediary has a transaction or a service usage from a foreign service provider, a intermediary should have an effective plan for
effective plan for communication with a foreign regulatory agency, foreign authorities and foreign service providers in order to support in case of the occurrence of emergency incidents causing cross-border
or should have been known, but not exceeding two years from the effective date of registration statement.” 1 I. DESCRIPTION OF THE DEBT SECURITIES A. Economic Terms of the Debt Securities 1. Provide
1 Operation Control Clause 4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and
4. Securities company shall have an effective internal control system, risk management system, and a system protecting conflict of interest and shall prescribe rule and procedure of such systems in
or need of such person; “Office” means The Office of the Securities and Exchange Commission. Chapter 1 Operation Control Clause 4. Securities company shall have an effective internal control system
Commission No. Kor Thor. 65/2547 Re: Criteria for Undertaking Derivatives Business for Licensed Derivatives Brokers dated 22 December 2004 that have been in force and effect prior to the effective date of this
Business for Licensed Derivatives Brokers dated 22 December 2004 that have been in force and effect prior to the effective date of this Notification shall remain in full force and effect to the extent that
goals will be on building efficiencies, creating standards, identifying new alternative channels to reach targeted client segment while maintaining an effective risk management and credit monitoring and