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
6. Securities company must designate an anti-money laundering officer to be responsible for rendering advices, monitoring, and reviewing transactions in order to ensure compliance with this
experience with relevant regulatory or reporting requirements, or the ability to gain the necessary skills and knowledge effectively; · The firm has sufficient personnel with the necessary competence and
person. And shall not disclose inside information for any personal gain. Clause 13. Securities company shall make an affirmation on securities trading to their counter trader in writing in due time after
demonstrate that there are systems on the appointment of a custodian agent in place as follow: (1) System for selection a custodian agent to ensure that the custodian agent has a system ready for taking assets
disclosed the names of the customers or suppliers to other persons such as investors or securities/investment analysts, such information shall be included in the annual registration statement to ensure equal
additional disclosure in the Annual Registration Statement. For example, the Company plans to gain a 20-percent market share in the next three years or to develop production technology to reduce production
operational control which are able to uphold the derivatives business efficiently in order to ensure honest business conduct, taking into account the interest of the client, and fair treatment of all clients as
, the intermediary shall comply with Clause 11 and Clause 23(4) of this Notification only. Clause 4 The rules in detail under this Notification are prescribed to ensure that intermediaries comply with the
of the board of directors to ensure that the use of information technology in the business operation facilitates the intermediaries in achieving the specified goals with appropriate use of resources