shall have guideline for employees regarding securities trading control system in order to prevent the employees from inappropriately using inside information and having a conflict of interest in

23.28 Repealed. Clause 24. 29 A securities company shall have guideline for employees regarding securities trading control system in order to prevent the employees from inappropriately using inside

orders; (4) an internal audit and control system for accepting trading orders outside the intermediary’s offices, for example, internal audit plan and report. 14 In granting an approval under the first

or changing of the content of the conversations, etc.; (3) an efficient system for receiving and executing trading orders; 17 (4) an internal audit and control system for accepting trading orders

or changing of the content of the conversations, etc.; (3) an efficient system for receiving and executing trading orders; 17 (4) an internal audit and control system for accepting trading orders

control the volume of such transactions made by derivatives broker. Notification of the Office of the Securities and Exchange Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and

Office of the Securities and Exchange Commission No. SorThor. 19/2552 Re: Report on Trading of Securities and Derivatives in Foreign Countries of Derivatives Broker _____________ By virtue of Section 14

following categories: (1) securities brokerage, securities trading or securities underwriting; (2) investment advisory providing investment planning to clients or using software programs in providing services

following categories: (1) securities brokerage, securities trading or securities underwriting; (2) investment advisory providing investment planning to clients or using software programs in providing services

limiting disclosure of such password to the relevant authorized staff only; (3) determining a control system for drawing or using hardcopy forms relating to securities trading or reimbursement such as cheque