assets (if any). In cases where the information under Paragraph 1 changes significantly, the securities company shall inform its clients of such change without delay; (2) inform its clients that in cases
at the end of each month to the client within the seventh day of the following month, except there is no transaction which affects the movement or change of the assets under custody of the securities
exchange Earnings from operation before change in operating assets and liabilities Operating assets (increase) decrease Long-term deposits at financial institutions Securities purchased under reverse
or a group of persons who authorized a management company to manage a private fund; “Liquid asset” means assets as follow: (a) Cash or deposit money; (b) Certificate of deposit or promissory notes
event which may cause change in the value of the liquid assets or insurance used for the maintenance of capital, the value of such liquid assets or insurance shall be recalculated by the intermediary in
use of IT assets ; (3) in case of any change to the responsible person or unit, protection roles and responsibilities to relevant IT assets should be reviewed. Clause 16 IT assets associated with
for acceptable use of IT assets ; (3) in case of any change to the responsible person or unit, protection roles and responsibilities to relevant IT assets should be reviewed. Clause 16 IT assets
been a change in the necessary circumstances as provided in the first paragraph, the Minister upon the recommendation of the SEC may modify or change the conditions already specified.
appoints as an agent to perform duties relating to the custody of mutual fund assets; “Management company” means any securities company licensed to undertake securities business in the category of mutual
a year or when there is a significant change affecting the risks and impacts as such. In doing so, it shall be complied with the following approaches: 3.1 Defining Critical Business Function Companies