company shall provide a reservation of information and computer system of the securities company which is capable of supporting the business operation continuously, efficiently and up to date. Clause 9. The
an employee who is capable of giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b) arranging a communication system which
the financial advisor who jointly prepares and certifies the Registration Statement to be appropriate and capable of making an appraisal that reflect the true value reliably and sufficiently. Such
operator registration under Clause 2 (1) and (2) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the category under the relevant supervisory law ; (2
more of the following methods: (a) assigning an employee who is capable of giving information to clients on standby at an office of the intermediary where clients contact for the distribution thereof; (b
entitlement in property held on trust by a derivatives business operator for its customer with a view to delivery or as a result of acceptance of delivery under derivatives transaction for the account of a
less than five years. In the first two years, those information and documents shall be preserved in such a way that is promptly available for the Office to view or inspect.” Clause 3 This Notification
company, or a financial institution established under a specific law under Clause 4(1) (2) and (4) shall possess the qualifications as follows: (1) being capable of operating the derivatives business of the
) being able to show that an internal control system capable of preventing wrongful acts that may cause damage to securities issuers or securities holders will be put in place. Clause 4 The application for
company should arrange an information management system according to the following guidelines: (1) putting in place an efficient information management system that is capable of processing accurate and up