, conditions and procedures as specified in the notification by failing to put in place a sufficient and effective system for analyzing, reviewing and monitoring the quality of securities. SEC Act S.117
including appropriate and sufficient personnel to be able to operate the securities brokerage business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic
sufficient personnel to be able to operate the investment advisory service business efficiently. The public prosecutor issued a prosecution order; however, attempt to arrest the juristic person representatives
) having exhaustively comprehensive risk management of which preventive measures and arrangement shall be adequate and effective; (7) having systems and measures for preventing conflict of interests at least
renegotiating payment condition with its business partner. All of these measurements are the effort of cost control in order for the group to secure sufficient cash flow to continue its business operation under
transaction of securities dealing with a client , a securities company shall specify a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient
a procedure and method for the Know Your Client & Client Due Diligence (KYC/CDD) in writing whereby there shall be sufficient processes to ensure that the client is the same person whose identity
beneficial to the undertaking of the derivatives brokerage business in a sufficient number to accommodate the undertaking of the derivatives business in an efficient manner. Clause 11. The derivatives broker
knowledgeable, capable or experienced and who are beneficial to the undertaking of the derivatives brokerage business in a sufficient number to accommodate the undertaking of the derivatives business in an