of transaction, value of transaction, price per unit (if any) and the investment limit compared with the net asset value of private fund specifying such transaction consistent with any of clause 18(1
supplementary documents as required by the notification of the SEC Office. The Capital Market Supervisory Board shall approve rule of the derivatives exchange unless such rules: 20 (1) are not consistent with the
), or international standards issued by the International Federation of Accountants (IFAC) in case the FAP has yet to issue or amend its standards to be in line with such international standards
Notification, to [i] amend or refrain to act or [ii] act any action within determined period which the SEC Office shall stipulate reasonably and in consistency with related circumstances, matters and issues; (6
) ordering the intermediary , who has breached or failed to comply with this Notification or the SEC Office’s Notifications issued by virtue of this Notification, to [i] amend or refrain to act or [ii] act any
, there shall not be any person taking responsibility of the entire process which may render him or her an opportunity to illegally modify or amend the information or operation of computer system. Clause 5
to amend the rules on office hours of securities companies.
business continuity plan (Business Continuity Plan: BCP) which is consistent with the policy stipulated in (1) approved by senior management and board of directors or working group that is assigned in
operating system that is appropriate for servicing customers and is consistent with practices set out under the rules prescribed by the law governing securities and exchange, and that its head office is able
Market Supervisory Board or the SEC Office, nor having corrected the financial status or the operating result as ordered by the said authorities. 4.8 Having not been ordered by the SEC Office to amend the