special holiday schedule established for financial institutions and specialized financial institutions for the year 2024, in accordance with the Government’s policy.
) in accordance with the rules, conditions and procedures of the Notification of the Securities and Exchange Commission. SEC Act S.97 Settlement Committee Meeting No. 1/2023 Settlement Committee Order
net capital in accordance with the rules, conditions and procedures of the notification of the office of the Securities and Exchange Commission. SEC Act S.141 Settlement Committee Meeting No. 1/2023
structure, operating system, and a sufficient number of personnel in accordance with the notification of the SEC. DAB Act S.30 Settlement Committee Meeting No. 4/2023 Settlement Committee Order No. 1/2023
for assigning other persons to perform the work related to business operations. Accordingly, the act of Zipmex was not in accordance with the notification of the SEC. DAB Act S.30 Settlement
not be a director, officer or employee of the securities company. The securities company shall publish its balance sheet and profit and loss account prepared in accordance with the first paragraph for
not be a director, officer or employee of the securities company. The securities company shall publish its balance sheet and profit and loss account prepared in accordance with the first paragraph for
the first available opportunity; (4) in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary, such information shall be revised and updated completely
the first available opportunity; (4) in cases where a client’s trading account is suspended in accordance with the criteria of the intermediary, such information shall be revised and updated completely
activities to Related Service Providers but cannot delegate their stewardship responsibilities and must ensure they are carried out in accordance with their level of commitment to this Code. 3. The Principles