so that it is more flexible for securities companies to prepare their training courses which best suit the needs of their personnel and that a wider range of activities will be available for the
available at the office of the derivatives business operator for public access and also be published in at least one local daily newspaper in accordance with the rules specified in the notification of the SEC
the excel-file-via-email method. Intermediaries may submit the daily status report by filling in the online form available on the SEC website or by preparing a text file according to the Enclosures 1
: ............................ Remark : The applicant is required to notify the SEC Office in advance at least five business days before the opening of the representative office abroad.
available risk. In case of damage prevention, it has an objective for preventing information and computer system from available risk according to a content cover the guideline for entering the computer centre
conditions as follows: (1) being available for producing, selling products or rendering service, rent or management; (2) being expected to be utilized for more than one accounting period. Such assets shall be
form and procedures provided in the electronic system of the Office or by any other means notified in advance by the Office. Clause 3. This Notification shall come into force as from 14 March 2008
involves capital inflow or outflow, as per the forms and procedures provided by the Office in electronic systems or as per any other forms which the Office shall notify the derivatives broker in advance
firm use specific audit manual for special industries of clients? If yes, Is the audit manual: (a) Commercially Available? (b) Produced by an international firm of which the firm is a member? (c
is made. The storage of such document or evidence shall be made in the manner which is immediately available upon the Office’s request for a review or an inspection. Clause 4 This Notification shall