persons who demand information to get a convenient access without requirement for member subscription; and (c) giving advice without any core objectives of providing advisory services to other persons
preserved information media and duplicate the procedure or compliance guideline in other place for security in case of he operational place damaged and providing the entrance controlling and damage prevention
an agency supervising such financial institution or the Commission of the Organization for Reformation of Financial Institution System or has been ordered to rectify the damaged financial position by
rectify the damaged financial position by decreasing capital and subsequently increased its capital under the assistance of a State agency or financial institution, unless exempted by the SEC: O yes O being
convenient, expeditious and fair for investors, the Office of the Securities and Exchange Commission hereby issues the following regulations: Clause 1. This Notification shall come into force as form 16 May
investment for the client , the intermediary shall provide a system for controlling the client ’s assets to prevent being lost, damaged and unlawful exploitation; (10) having compliance system in accordance
, damaged and unlawful exploitation; (10) having compliance system in accordance with the Notification of the Capital Market Supervisory Board concerning Establishment of Compliance Unit of Intermediaries