Clause 18(2); (2) arrange for the affiliated company to specify material information in the contract in accordance with Clause 16 and to add clauses with the following material information therein: (a) the
approval the Office may specify additional conditions which apply to such investor contact and the securities company which has submitted the application for approval. In case the Office declines to grant
issue at each time. Authority to specify other details The Board of Directors or the person assigned by the Board of Directors are authorized as follows: 1. Specify various details related to the
number of shares sold. By signing names in letter, requesting the Board of Directors to call an extraordinary general meeting of shareholders any time. But must specify the reason for requesting the
an offering of retail trust units; (2)3 in case of offering for sale of trust units for high net worth investors, the offeror shall specify information as specified under Section 69(1) to (10) and
year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice for risk
assessment once a year at least the policy and indicated the concerned risks, arrangement the importance of information and computer system, specify the acceptable level of risk and specify measure or practice
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
employee responsible for the said duties to provide true and accurate information to the client. Clause 18 In considering a transaction of securities dealing with a client, a securities company shall specify