, who have duty to communicate with or provide services to the client , to display themselves, by ways and means as determined by the intermediary , that they are assigned by the intermediary to provide
services to clients, an intermediary shall have a system to support such said activities and ensure that the communication channel, disclosure, supervision and the personnel assigned by the intermediary are
guidelines, the manual and the disclosure checklists available on the SEC website. Table of Contents Part 1: Business Operation Page 1. Policy and business overview 2. Nature of business 3. Rick factors 4
the rules and the time specified by the Office. Such publications or disclosure shall be displayed in a prominent place at the office of such securities company. A report together with a copy of such
Company is advised to consider the guidelines, manual or disclosure checklist in Form 69-1 available on the website of the SEC Office. In this regard, the Company may also use the guidelines, manual or
client’s financial information to other persons, unless disclosure is made as a result of its obligation for disclosure; (4) the derivatives broker shall not represent any fixed rate of profits or returns on
”). Preparation and filing thereof should also take into consideration the guidelines, the manual or the disclosure checklist available on the SEC website. Table of Contents Page Part 1: Business Operation and
for the disclosure according to its duties. (4) Not to make presentation which will guarantee profit or return at a certain rate or the loss shall not be more than the rate already specified, except for
. the operating procedures that meet the internationally-accepted information security standards; 3. measures on IT security, access control, and information disclosure; 4. audit of the cloud provider’s
Office of Securities and Exchange Commission No. OrThor. 6/2549 Re: Guidelines for Preparing a Risk Disclosure Statement for Futures Trading. Clause 21 of the Notification of the Office of Securities and