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-General Office of the Securities and Exchange Commission In support of the application for approval of the Office of the Securities and Exchange Commission submitted by ………[FULL NAME OF APPLICANT
comply with the requirements prescribed by the Office. This is to encourage securities companies to organize more in-house training which will support the ongoing personnel’s skill development to be better
, as the case may be. “ support system provider ”4 means a person approved to be a support system provider under the notification concerning support system provider . “ support system ”4 means support
contact ” means a person who performs duties in contacting, soliciting, giving advice or planning with respect to trading or investment in derivatives for investors. There are two categories of investor
data and information system in accordance with Chapter 3; (4) information communications security via computer network systems and operations security with respect to information systems in accordance
business in the category of securities finance business. In this respect, the time to maturity of such bill of exchange or promissory note shall not exceed ninety days, shall not have any restriction on
Notification with respect to the management of any mutual fund that offers investment units for sale in the country and abroad, the SEC Office shall have the power to grant a waiver of compliance with such rules
mutual reliance and support as well as strategic positioning of the Company or the group of companies in relation to the business group of the major shareholder. If the business structure of the Company or