capital market products which are over-the-counter derivatives. Clause 5/3 4 An intermediary shall ensure that the method and procedure for communicating with and providing services to clients have included
least. [A] · Backup Information and frequency of preservation · Media · copy · Procedure and method in detailed · Place and method of media storage · Providing a log book of information preservation that
with a client. Such procedure should have adequate process to identify and verify client’s true identity in order to ensure that the client is the person appears on the documents referred to during the
Notification of the Securities and Exchange Commission No. Kor Dor. 17/2539 Re: Rules, Conditions and Procedure for Applying for License and Granting of License to Provide Services as Securities Registrar By
procedure for providing services by considering the following matters: (a) disclosure of accurate, complete, necessary and sufficient information in order for the service user to choose a service or make an
trading system; (6) arranging disclosure of information related to trading which shall cover at least the following matters: (a) procedure and method for providing clear and fair access for service users
income structure of such period is required, as the case may be. 2 Including the profit margins in the associates based on equity method. 3 Describe the nature and proportion of other incomes, other
application with the SEC Office together with the relevant evidentiary documentation in accordance with the form and procedure prepared on the website of the SEC Office. Clause 6 In case the SEC Office has
_________________ Clause 5 An applicant shall submit an application with the SEC Office together with the relevant evidentiary documentation in accordance with the form and procedure prepared on the website of the
equity method. 3 Describe the nature and proportion of other incomes, other significant incomes must be displayed in a separate row (if any). Give a separate description of each product line or business