company shall keep such record into recording tape or electronics recording appliance. Clause 19/1. In dealing with retail client, a securities company shall arrange to have documents or evidence showing

” means: (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e., computers, equipment, data recorders, and other equipment; (3

Securities and Exchange Commission Appendix Definitions “ IT assets ” means (1) system assets, i.e., computer network, system software, application software, and information systems; (2) equipment assets, i.e

management of the private fund, using knowledge and competence as a professional. The securities company shall enter into a written agreement with a person or a group of persons who has authorized the

of the skills and knowledge in relation to the performance of duty as investor contact using three criteria being 1. Participation in activities accepted by the Office, 2. Further education and 3

the firm assures that all staff has sufficient accounting and auditing knowledge enough to perform their audit work? 12 Does the firm conduct significant amount of in house training? 13 Does the firm

recording device. Clause 17 A securities company shall not trade securities by using inside information in such a way that takes advantage of outside persons or disclose such inside information for other

regardless of textual matters, pictures, sounds, signs or any symbol, and whether making through medias or any device. “ sale promotion ” means providing incentive gifts, rights or other benefits to a client

granted for a limited term and renewal of such approval shall be considered by the SEC Office on the basis of investor contacts’ professional skills and knowledge, the SEC Office has issued guidelines for

the records of such transaction by using tape recorder or electronic data recording device. Clause 14. A securities company shall not trade in securities by using inside information in such a way as to