in order to obtain unlawful gains for himself or another person and cause damage to POLAR. This case is in the process of inquiry by the inquiry official. SEC Act S.310 and 312 in conjunction with
practical issues and challenges faced in the course of their audits. In February, June and October 2014, the SEC participated in three meetings of the International Organization of Securities Commissions
investment management and shall obtain a prior consent from the client, who uses the service from the intermediary . Chapter 2 Outsourcing Operational Function to Service Providers ____________________ Clause
intermediary in the category of derivatives investment management and shall obtain a prior consent from the client, who uses the service from the intermediary. 1 Amended by the Notification of the Capital Market
intermediary or the SEC Office. Clause 11 An intermediary intending to outsource function related to business operation to a third party shall obtain an approval from the SEC Office before proceeding with the
SEC Office. Clause 11 An intermediary intending to outsource function related to business operation to a third party shall obtain an approval from the SEC Office before proceeding with the outsourcing
Securities and Exchange Commission governing approval for derivatives investor contacts and standards of conduct. Chapter 1 Application for Approval ______________________ Clause 3. Persons who obtain approval
obtain approval to be investor contact shall be divided into two categories which are Category A Investor Contact and Category B Investor Contact. Clause 4. The applicant for approval as category A