including derivatives fund managers being a financial institution regulated by other agencies; “ electronic data ” means data that are created, sent , received, stored or processed through electronic
Exchange Commission No. Sor Thor. 29/2540 Re. Forms for Balance Sheet and Income Statement of Securities Companies Which Obtain a Securities Business License to Undertake the Securities Business in the
record of audio tape or electronic storage medium thereof shall be kept by the derivatives agent. (2) Records of the details of transaction executed for its customers, confirmation statement, evidence of
(confirmation statement); (3) evidence of margin call in cases where the derivatives broker calls for a customer to deposit additional margin; (4) account of derivatives trading of each customer. A derivatives
any other benefits are appropriate and fair, following the Office’s guideline which will be notified in advance. Clause 7. In case the advertisement contains a statement that is partially copied or
property fund; (2) the advertisement must be made in print or electronic media; (3) presentation of the estimated return or the auto-redemption rate shall not be more prominent than other information
Commission governing the maintenance of financial status of a licensed securities company; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by
governing the maintenance of financial status of a licensed derivatives broker; (2) shareholders’ equity as shown in the latest financial statement that has been audited by an auditor approved by the Office
matters relative to independence confirmations, performance evaluations, results of monitoring, client acceptance and continuance evaluation, etc? · Using electronic databases · Manual notes · Checklists
the use of prepared electronic devices which such devices are connected to computer or electronic systems of the head office; “Office” means the Office of the Securities and Exchange Commission. Clause