the management’s acknowledgment and application of such information to ensure efficient and up-to-date management; (3) putting in place an early warning system for maintenance of financial position to

customer and obtain the customer’s signature of acknowledgment of the risks which may arise from a short sale; (2) arrange for the customer to short sell through a margin account and call for collateral

fairly. The investment advisory company shall submit an application for approval to the Office together with the document evidences as prescribed by the Office. The Office shall finish the consideration of

of having negotiation. In case where the consideration of the compliant about the securities investment advice or securities investment negotiation is not finish within specified period of time, the

demonstrating the acknowledgment of the client with respect of the caution about risks arising from such investment or transaction. While the client has not confirmed on the investment or entering into the

assets, accounting policy on expenditure forecasting of place renovation after using finish property, plant and equipment and in case of using value assessment as revaluation, it shall identify rules of

The SEC Office upon approval of the SEC shall prepare and submit its operating plan to the Minister for acknowledgment every year and disclose the operating plan in a manner available for public access