market product having high risk or complex characteristics shall comply with the regulations under Chapter 6; (7) receiving trading orders of capital market products outside the offices of intermediaries
SEC Board?s resolution Securities companies are allowed to appoint independent directors or non-executive directors as their audit committee: By virtue of Section 89/25 of the Securities and Exchange
recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other
17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other persons’ use. 6 Added
is located, which materially impacts to the operation of such branch. Clause 12 An intermediary shall appoint a personnel, approved by the SEC Office under in Notification of the Capital Market
authority of the country where such branch office is located, which materially impacts to the operation of such branch. Clause 12 An intermediary shall appoint a personnel, approved by the SEC Office under in