] · Determining clearly the person to responsible for specifying, altering or changing the other value of parameter of the program system. [M] 5. Management and inspection of network · Segregating the network
with rules specified by the SEC Office. Clause 5 A derivatives broker shall not engage in any act which results in creating, altering, transferring, reserving or terminating a client’s right over assets
not be considered as an appointment of an agent to undertake custody of clients’ assets . Clause 9 A securities company shall not engage in any act which results in creating, altering, transferring
controlling its business by mean of maintaining capital adequacy and capital reserve as prescribed by related rules. Provided that, after submitting an application, if it appears that the applicant can not
whether or not the analysis is fundamental or technical, in conjunction with such consultation, and shall mean an ASEAN investment analyst as well; “ ASEAN investment analyst ”9 means a person eligible to
liabilities ” means total liabilities deducted by qualified liabilities . “ total liabilities ” mean: (1) all liabilities shown in the financial statement but not including the following liabilities: (a
provide a measure for protecting information security and computer system and network which is sufficient for preventing an unauthorised person from accessing, acknowledging, utilizing or altering such
results in creating, altering, transferring, reserving or extinction of client’s right in his/her own asset, without or fail to comply with instruction or consent in writing from the client or any person
new fund scheme and the former mutual funds are dissolved; (6) “new mutual fund” means a new mutual fund established by means of mutual fund merger; (7) “former mutual funds” mean the mutual funds which
names of the persons under Clause 8(1), (2), (3) and (4) at its every office, and also disclose those names on its website. In case of changing the names of persons on the displayed list, the intermediary