securities company should arrange an information security system according to the following guidelines: (1) putting in place a secure and efficient system for safekeeping information, evidentiary documentation

secure or satisfy the obligations incurred incidental to or resulted from derivatives transaction for the account of a customer, it shall, in compliance with the rules specified in the notification of the

custody, whether in its own premise or other person’s, such premise must be secure. In case of using other person’s premise, the securities company shall notify to such person explicitly that the assets

premises or another person’s, such premises shall be secure. In case of using another person’s premises, the securities company shall inform such person explicitly that the assets belong to the client

.... Risk Disclosure Statement for Futures and Options Trading in Derivatives Exchange Date……………………………… We,……………[company name]………….…,who are a derivatives agent, hereby certify that Mr/Miss/Mrs

first paragraph is a commercial bank under the law on financial institution business, a life insurance company under the law on life insurance, or a financial institution established under a specific law

following regulations: Clause 1. In this Notification: “securities company” means a securities company licensed to undertake securities business in the category of mutual fund management. Clause 2 . This

be an established guideline on cryptographic algorithm, key length, usage practices and secure process for key management. The intermediary should monitor key management related activities at a regular

of the Office of the Securities and Exchange Commission No. OrKhor./Nor. 5/2549 Re: Guidelines Relating to Operating Systems of Fund Management Business In order for a management company to comply

investor” means any investor which is a financial institution under the Commercial Banking Act, securities company, non-life insurance company, life insurance company, statutory company, mutual fund, private