. (c) Addressing significant matters arising during the engagement, considering their significance and modifying the planned approach appropriately. (d) Identifying matters for consultation or
derivatives dealer has outsourced other persons to undertake the function of contacting, soliciting or giving advice relating to derivatives transaction or analyzing the value or advisability of the derivatives
accessing the password by other person, the user should change the password instantly. · Having an encryption the file that keeping the password for the purpose accessing or modifying. [M] · Inspecting
to have evidence related to the derivatives trading and maintain such evidence in complete and up-to-date, including keeping of report or article analyzing value or advisability of trading in
contacting, soliciting, giving advice, preparing investment plan, or analyzing the value or suitability of trading or investing in securities for investors, the investor contact shall not delegate other
analyzing information concerning securities trading payment of clients in one or many of the following ways: (1) being a contact point for data processing of securities trading; (2) sending and receiving
Contacts to enhance their skills and knowledge. In amending the rules for the renewal of approval, the Office adds more categories of skill enhancing activities to include in-house training courses which
Notification is to prevent risks associated with the operations of derivatives brokers and the trading and settlement system of derivatives exchange as well as to enhance operational efficiency of market makers
advices relating to securities investment to investor or the client of securities company, or in analyzing a securities investment, such securities company shall arrange to have the investor contact
, without planning or analyzing of investment. “ investment planner ” means a person providing investment consultation to investors and being allowed to make an investment plan in conjunction with such