upon the recommendation of the SEC has the power to specify conditions with which the license holder shall be required to comply in the undertaking of the securities business. In cases where there has
: Investment and Holding of Assets for a Fund dated 17 July 2006: “In preparing the information required under the first paragraph in respect of the provident fund with multiple investment policies, management
the Capital Market (Normal) I hereby attach the supporting documents required by the Securities and Exchange Commission Office (“SEC Office”) and confirm my willingness to provide any other information
Office; (3) calculate the market prices of derivatives held by a client including any profit or loss from positions on derivatives in order to adjust the margin value of the client at least at closing time
for determining a required resource. Therefore, it should be approved by senior management and the Board or the appointed working group. Division 5 Companies shall provide business continuity planning
of derivatives advisory service obtained by the applicant prior to the date of filing the application. Clause 21 In the case where the licensee, being required to maintain its status of legal entity in
: This Registration Statement for Securities Offering (Form 69-1) is the minimum information that the issuing company (“The Company”) is required to disclose. In preparing the Registration Statement, the
institution, the securities company may comply with the policy of security of the information technology of such financial institution. [M] · Reviewing and modify updatable by having a risk assessment once a
specified by the Office and may also require an explanation to elaborate or clarify such reports or documents in accordance with the rules and required as specified in the notification of the SEC. The reports
. Clause 21 In the case where the licensee, being required to maintain its status of legal entity in a conglomerate pursuant to Clause 13(5), is to change its shareholding structure to the extent that it is