that all information provided in this application and its attachments are true and correct. Full name as per Passport Signature Date signed (DD/MM/YYYY) Fast Track ISQC1 Paragraph 12 Network – A larger
directors and containing at least details as specified in the provisions under Clause 8. The policy shall be reviewed on its efficiency and appropriateness at least once a year or promptly upon occurrence of
shall not be effected, which increase the efficiency in managing its cost. The Office, therefore, has amended the prescription concerning working procedures and conditions for securities company on using
units in order to achieve efficiency in the overall operation of the company. (4) have performance appraisal and personnel development in order to maintain staff’s professional competence to remain fit
Notification is to prevent risks associated with the operations of derivatives brokers and the trading and settlement system of derivatives exchange as well as to enhance operational efficiency of market makers
company as securities broker shall bear a statement of larger fonts, or being marked or done by other methods to highlight such statement to make the client aware of the following matters: (1) risks arising
account or the cancellation date of the agreement. Clause 17. An agreement which a retail client appoints the securities company as his or her securities broker, shall bear a statement of larger fonts, or
the efficiency of corporate governance and that the Company’s corporate governance standard increased in accordance with the CG Code 2017 for listed companies; 6.3.2 In case of not yet implementing the
be applicable to the outsourcing of operational function of an intermediary to third parties in order to increase flexibility and efficiency of business operation of the intermediary . In this regard
operate for a period in order to assure that a functionality having an efficiency, the assessment system is correct and complete and satisfies the need of user. [A] 2.7 Communication of alteration