technology operation, either by an internal unit of the securities company or by an outsider inspector, in order to inspect all of the potential risks on information technology. In case of inspection by an
.. PAGE (UNOFFICIAL TRANSLATION) The Office of the Securities and Exchange Commission 12 June 2007 To Managers All securities companies Circular No. SEC.Khor.(Wor) 25/2550 Re: Guidelines for Renewal
The Office of the Securities and Exchange Commission (Unofficial Translation) PAGE The Office of the Securities and Exchange Commission 12 June 2007 To: Managers All securities companies Circular No
academic expert or professional in accounting, finance, business administration, economics or law; (7) “Office” means the Office of the Securities and Exchange Commission. Clause 3 . An executive of any
company or a public limited company; (8) “ conglomerate ” means a group of legal entities having relationship in respect of shareholding structure, whereby all legal entities in such group have relationship
) …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. …….. ………… ……………….. …………….. ……….. The company has already examined the curriculum vitae of the persons above, O thereby certifies that the persons applied for approval to be executives possess all qualifications without any prohibited
ownership of, the possessory right or the leasehold in land, building, construction, machine, equipment including all other related assets used in the operation of an infrastructure business; (b) the
(“developer”) from the personnel who operate in the system administration (“system administrator”) in the production environment. In the case that duties cannot be segregated due to the size of the business
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.
integrity and honesty; (2) Perform duties by using knowledge and expertise as professional and treat all investors with fairness, care, prudence and in the best interest of investors. (3) Disclose or provide