remains outstanding (open interest); (4) the amount and type of asset deposited as margin or for settlement of derivatives contract on maturity; (1) the profit gained from derivatives position and the

who is independent from the responsible person for managing information security incidents under (2); (7) maintain all documents related to the management of information security incidents at least two

general public stipulating the period for consideration and making of order with respect to issuance of license, acceptance for registration and grant of approval under this Act. SECTION 7. 2 All rules

under this Act. SECTION 6 All rules, regulations, notifications, directives or stipulations issued under this Act by the SEC or the SEC Office which are of general application shall come into force upon

specified in the SEC notification, the Minister shall have the power to revoke the license to operate all or any type of securities businesses so licensed upon the recommendation of the SEC.

arrange for such personnel to perform their functions in accordance with the established policy and procedures by meeting the following criteria: (1) educate all employees and contractors on IT security

(UNOFFICIAL TRANSLATION) 4 (SEC Logo and contact information) 30 November 2016 Dear Managers: All securities companies All derivatives brokers No. SEC. Nor Por. (Wor) 30/2559 Re: Submission of Daily

unitholders as well as to do all other acts as may be necessary for the completion of liquidation in accordance with the rules, conditions and procedures as specified in the notification of the SEC. The

the ……………………..…………………..…… (audit firm’s name), hereby certify follows; 1. Mr./Mrs./Miss……………………………………(applicant’s name), meets all criteria in the Notification of the Office of the Securities and

quartered ended Name of auditor Name of audit firm ( Audit of financial statements ( Review of financial statements · 1 . Clean opinion · 2 . Qualified opinion due to (select all that apply) ( 2.1 The auditor